Capital
Markets

Maxim Group’s Capital Market professionals interface with a worldwide network of asset managers, fund managers, hedge funds, pension funds and other institutions. Our sales and trading team is focused on providing clients with vital information through access to management teams via corporate access, quality research, and targeted theme-based conferences.

We provide our clients with tailor-made product solutions, market expertise, investment advice, execution capabilities and global distribution channels. With institutional coverage that spans more than 25 countries across four continents, our clients have access to a broad range of services: Institutional Equity Sales, Foreign Equities, Fixed Income Trading, Institutional Options Trading, Institutional Equity Trading, and Risk Arbitrage.

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 salesforce has a global reach covering accounts in the U.S., Europe and Asia.
Syndicate

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 Completed Transactions

Corporate Access
Maxim Group’s corporate access team specializes in supporting corporate clients with investor outreach, strategy and execution. We leverage our Equity Research, Institutional Sales & Trading, Investment Banking and Wealth Management platforms to provide marketing opportunities throughout the United States and Europe. Our team takes a consultative approach which is highly targeted and results driven.

We are dedicated to understanding our client’s objectives and designing programs that optimize their time and investor impact.

We are dedicated to understanding our client’s objectives and designing programs that optimize their time and investor impact. We help clients cultivate and deliver their story to the proper audience through a combination of:

  • Non-Deal Roadshows
  • Sector-Focused Conferences
  • Site Visits and Facility Tours
  • One-Day Forums
  • Specialty Group Meetings
  • Conference Calls
International Equities
Differentiated 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

Capital
Markets Team

Christopher J. Fiore
Co-President
Paul G. LaRosa
Executive Managing Director
Andrew Rosen
Managing Director
William C. Vitale
Managing Director
John Benedickson
Managing Director
Michael Messinger
Managing Director
Jamie Terranova
Managing Director
Jason Sardo
Senior Managing Director

Fixed
Income Group

Maxim Group’s Fixed Income Group (FIG) has assembled a team of dedicated sales and trading professionals with more than 100 years of collective experience who interface with a worldwide network of institutional and private clients. We are active market makers in a comprehensive range of sectors and our institutional reach spans over 36 countries worldwide. Our salesforce possess deep buy-side relationships, particularly with money managers, mutual funds, insurance companies and hedge funds.
Syndicate
Maxim has participated as both an underwriter and selling group member in various preferred stock and corporate bond offerings, distributed through our private and institutional clients.

Our sector presence currently includes:

  • High Grade and High Yield Corporate Bonds
  • Residential Mortgage Back
  • Securities and Specified Pools
  • Preferred Stock and Hybrid Capital
  • Emerging Markets
  • Convertible Bonds
  • Municipal Bonds
  • Structured Products
  • U.S. Treasury and Agency Securities
  • Certificate of Deposit
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