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Andrew Thomas Grossman

Maxim Financial Advisors LLC

Woodbury, NY

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Current Employers
Maxim Financial Advisors Llc

300 Park Ave 16Th Fl, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-30
NJ RA APPROVED 2017-10-30
  • NY RA
    APPROVED
    Since 2021-11-30
  • NJ RA
    APPROVED
    Since 2017-10-30

Branch Locations

20 Crossways Park Drive North Suite 304, Woodbury, NY 11797 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Maxim Group Llc Woodbury NY 10/2002 Present
Maxim Financial Advisors Woodbury NY 10/2017 Present
  • 10/2002 → Present
    Maxim Group Llc
    Woodbury, NY
  • 10/2017 → Present
    Maxim Financial Advisors
    Woodbury, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-29
S63 Uniform Securities Agent State Law Examination 1987-10-12
  • S65 Uniform Investment Adviser Law Examination
    2021-11-29
  • S63 Uniform Securities Agent State Law Examination
    1987-10-12
Other Names
  • Andy Grossman

View on SEC IAPD

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