MAXIM FINANCIAL ADVISORS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 139366). Regulatory assets under management: $445.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Timothy Gerard Murphy | CHIEF FINANCIAL OFFICER | — |
| Tipton Hamlin Evans | CHIEF COMPLIANCE OFFICER | — |
| James Edward Siegel | GENERAL COUNSEL | — |
| Clifford Adam Teller | CO-PRESIDENT; MEMBER | — |
| Christopher James Fiore | MEMBER | — |
| MURPHY TIMOTHY GERARD | CHIEF FINANCIAL OFFICER | — |
| RABINOWITZ MICHAEL | CHAIRMAN/CHIEF EXECUTIVE OFFICER | — |
| ORAZIO JAMES PAUL | CHIEF ADMINISTRATIVE OFFICER; PRESIDENT; PRESIDENT/CHIEF ADMINISTRATIVE OFFICER (+1 more) | — |
| SERGIO JOHN PETER | CHIEF OPERATING OFFICER | — |
| ROSE EDWARD LAWRENCE | GENERAL COUNSEL; VICE CHAIRMAN | — |
| MCCARTHY GERARD THOMAS | CHIEF COMPLIANCE OFFICER | — |
| FIELD BRIAN H | VICE PRESIDENT | — |
| LIGUORI MICHAEL ANTHONY | DIRECTOR OF OPERATIONS | — |
| JONES DOUGLAS ALAN | MANAGING DIRECTOR | — |
| PASTINE ARMAND RALPH | MANAGING DIRECTOR | — |
| LAROSA PAUL GEORGE | PRESIDENT | — |
| GARRITY JOHN JAMES | EXECUTIVE MANAGING DIRECTOR OF SALES | — |
| ZAPPONE FRANCO VINCENT | EXECUTIVE MANAGING DIRECTOR OF SALES; MANAGING DIRECTOR OF BUSINESS DEVELOPMENT | — |
| DICLEMENTE ANTHONY | PRESIDENT/CHIEF ADMINISTRATIVE OFFICER | — |
| Evans Tipton | CHIEF COMPLIANCE OFFICER | — |
| SIEGEL JAMES EDWARD | GENERAL COUNSEL | — |
| EVANS TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | — |
| TELLER CLIFFORD ADAM | CO-PRESIDENT; MEMBER | — |
| FIORE CHRISTOPHER JAMES | MEMBER | — |
| DICLEMENTE ANTHONY NMN | PRESIDENT/CHIEF ADMINISTRATIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | — | — | — |