Prior to joining Maxim Group, Mr. Sergio was the Chief Compliance Officer for Investec Ernst & Company. Previous to that, he served as Director of Compliance for a regional Broker/Dealer. He is a former NASD examiner and was an Operations Manager at Shearson Lehman Brothers. Mr. Sergio holds an MA in Accounting with honors and a BA in Economics, Summa Cum Laude, both earned at Long Island University. Mr. Sergio has also completed post-graduate work at New York University and has written a number of articles for the academic, general and financial press. He has appeared on CNBC speaking on industry topics and has been quoted often in the financial and industry press. Mr. Sergio is a former NASD arbitrator.
Chief Operating Officer