Equity Capital Markets

Institutional Sales & Trading

Our Institutional Sales and Sales Trading teams average over 15 years of experience working at both Bulge Bracket and Boutique research firms. Our sales teams focus on covering money managers that are underserved by the Bulge Bracket firms. Our sales team differentiates themselves by not only knowing our research product and working closely with our analysts but several have distinguished themselves as independent thinkers and have excelled in many of the streets Alpha Capture programs. Our sales force has a global reach covering accounts in the U.S., Europe and Asia.


The Syndicate Department coordinates the marketing, distribution & pricing of Maxim Group’s equity and preferred public offerings. We create strong long-term demand through three broad distribution channels: Our Wealth Management Platform, Domestic Institutional Investors and International Institutional Investors. We have a long history of working with issuing companies post-offering and we work closely with the Research and Investment Banking departments to provide important advice and exposure. Lastly, we regularly participate in public offerings managed by other leading investment banking firms and we give investors the opportunity to participate in emerging companies nationwide by maintaining strong relationships with national and regional brokerage firms throughout the United States. View our recent transactions.

International Equities

Precise research and analysis are the key considerations our professionals use to identify investment opportunities in the marketplace. Our International Equities division has deep-rooted relationships with a broad range of global clients including insurance companies, banks, hedge funds, broker/dealers and floor specialists.

  • Market maker in over 7,500 listed and OTC listed stocks
  • Commits substantial capital to support OTC principal trading and facilitate listed trading
  • Provides liquidity and execution in foreign equities and ADR’s in over 30 countries

Options & Derivatives

Maxim’s Options and Derivatives team possess a comprehensive understanding of derivatives, hedge strategies and options trading. Our options trading professionals advise large institutions and high net worth clients, keeping a strong focus on minimizing risk and maximizing returns.

  • Offers sales trading advice on traditional derivatives and financial instruments
  • Offers electronic execution of options through our proprietary smart router
  • Provides liquidity to help execute large orders