The Firm

Founded in 2002, Maxim Group is a leading full-service investment banking, securities and wealth management firm headquartered in New York. We provide a full array of financial services including investment banking; private wealth management; and global institutional equity, fixed income and derivative sales & trading, equity research and prime brokerage services to a diverse range of corporate clients, institutional investors and high net worth individuals.

Meeting the demands of our clients is the first order of business. It’s what drives our constant effort to deliver the latest innovations in financial services and allows us to remain focused on measuring success by the satisfaction of our clients. This approach, combined with investment flexibility and sharp insight, is what sets us apart from others in the industry.

Maxim Group is a registered broker-dealer with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (MSRB). We are members of the following:

  • Financial Industry Regulatory Authority (FINRA)
  • NASDAQ Stock Market
  • NYSE Arca, Inc.
  • The Investors Exchange (IEX)
  • Securities Insurance Protection Corporation (SIPC)