Client Privacy Policy Disclosure* for Maxim Group LLC and Maxim Financial Advisors LLC**

The confidentiality of client information is an important concern of Maxim. We take precautions to safeguard client personal information (“personal information”) at all times, and we will remain vigilant in protecting that information. The provisions of this privacy notice will apply to former clients as well as current clients.

Maxim collects personal information about you that is either required or necessary to provide you with financial products or services. We may obtain this information from the following sources:

  • Information we receive from you on account applications, forms and other information that you provide to us, whether in writing, in person, by telephone or by any other means. This information may include your name, address, telephone number, social security number, occupation, assets and income.
  • Information about your transactions with us or a non-affiliated third party such as account balances, payment history and account activity.
  • Information we receive from a consumer reporting agency, such as your credit bureau reports and other information relating to your creditworthiness.

Maxim will not disclose nonpublic personal information to affiliates or nonaffiliated third parties, except as permitted by law, under the following circumstances:

  • Where we believe in good faith that disclosure is required under law to cooperate with regulators or law enforcement authorities.
  • To consumer reporting agencies.
  • To our clearing firm and service providers to help us process your applications or service your accounts. These service providers, in turn, are required to protect the confidentiality and security of any information we give to them and may not reuse it for any other purpose.
  • To your registered representative (“RR”) and his/her new financial services firm if that RR leaves the employ of Maxim to work at another financial services firm. If you do not want Maxim to allow your RR to have this nonpublic personal information about you (in the event that such RR leaves the employ of Maxim), and you do not want Maxim to provide it to a new financial services firm for which this RR works, you may request that we limit this information which is shared by notifying Maxim at this address:

Privacy Management
Maxim Group LLC
405 Lexington Avenue
New York, NY 10174

If your primary address is in a state that requires your positive consent to share this information with another financial services firm (such as California or Vermont), then you must give your written consent before we will allow your RR to take any of your personal information. You can withdraw your request at any time by contacting Maxim at the address provided above.

Maxim reserves the right to change its privacy policy as the firm finds necessary. The firm’s privacy policy is continually published on the firm’s website, and any changes to this policy will be posted there. As a client of the firm, you agree to receive any changes to the firm’s privacy policy from this website disclosure unless you notify us otherwise in writing at the address above.

Maxim restricts access to your personal account(s) and information to those employees who need to know that information to provide products or services to you. We maintain physical, electronic and procedural safeguards that comply with the industry standards to safeguard your nonpublic personal information. Third parties who have access to such personal information must agree to follow appropriate standards of security and confidentiality.

Clients should be advised that in order to better serve you, telephonic communications may be recorded and monitored for quality control.

We trust that this clarifies position on client confidentiality, and look forward to being of service to you in the future.

* Please note: The Maxim Client Privacy Policy should be distinguished from the Website Privacy Notice. The Client Privacy Policy is meant specifically for clients of the Firm and the Website Privacy Notice is meant for any visitor to the Firm’s website.
** Maxim Financial Advisors LLC is an SEC registered investment advisor and affiliate firm to Maxim Group LLC. Maxim Group LLC and Maxim Financial Advisors LLC will, for the purposes of this document, be referred to as “Maxim”.

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