Wealth
Management
Private
Client Services
Retirement Plans
Managed Account Solutions
A full suite of solutions provided by Maxim Group’s sister firm, Maxim Financial Advisors, to provide clients with access to separately managed accounts, mutual fund and exchange-traded fund wrap accounts, and advisor-directed accounts
Cash Management
Education Planning
Full range of funding options including 529 College Savings Plans, UGMA/UTMA accounts and trusts
Executive and
Corporate Services
Maxim Group’s Executive and Corporate Services Department specializes in assisting corporations and their executives with comprehensive equity plan administration, participant support and education. We work with both public and private companies across the globe, delivering comprehensive solutions through our stock plan administration partners. These services include expense management, cap table management and the ability to support all equity award types.
Maxim provides stock plan administration services, coupled with our expert execution capabilities to thousands of plan participants around the globe. These execution capabilities include, 10b5-1 trading plans, cashless exercise transactions, rule 144 and 145 transactions, block trade executions and executive services transactions. Please contact our Executive & Corporate Services department directly to learn more at, (888)-277-0004 or e-mail corporateservices@maximgrp.com
Wealth
Management Team
Executive Managing Director
Wealth Management
Franco Zappone has over 30 years of experience in the security industry and currently serves as the NYC Branch Office Manager. Prior to joining Maxim Group, Mr. Zappone served as a Sales Manager for Investec Ernst & Co., an international specialist bank headquartered in South Africa and the U.K. Previously, he served as a Branch Manager at GKN Securities and Sales Manager at Grunthal Securities. Mr. Zappone graduated from Saint John’s University with a Bachelor of Arts degree in Finance.
Franco Zappone
Executive Managing Director
Branch Office Manager
Wealth Management - Woodbury
Pete Pelka currently serves as the Branch Office Manager in the Woodbury, NY office with over 25 years of experience in the securities industry and a background in compliance and operations. Pete has been with Maxim Group for the last 15 years and was previously with Herzog, Heine & Geduld, where he served as the Registration Manager. Pete graduated from C.W. Post University with a B.A. degree in Business Management.
Pete Pelka
Branch Office Manager
Managing Director
Executive and Corporate Services
Adam Wachtel was recruited by Maxim Group in 2008 to head Maxims Corporate & Executive Services division. Over a decade prior to coming to Maxim Group, Mr. Wachtel began his career at Prudential Securities, where his responsibilities included investment sourcing and portfolio analytics. Shortly after joining Prudential Mr. Wachtel made partner within the Rosenthal Group, Prudentials largest private banking group, and also acknowledged as one of the top investment advisor teams in the United States. Following Prudential Mr. Wachtel joined Smith Barneys Executive & Corporate Services division, which managed approximately 50 publicly traded companies equity compensation plans, ranging in size from small-cap to Fortune 50 companies. His responsibilities at Smith Barney ranged from the management of private banking portfolios, to corporate equity compensation advisement.
Adam Wachtel
Managing Director
Managing Director
Executive and Corporate Services
Mr. Angelo Lekanides has 30 years of experience in the securities industry. Over that time his experience has spanned across a broad spectrum of different activities in the industry. He has advised high net worth individuals and companies in regards to products ranging from equities, bonds and options to investments typically reserved for institutional investors such as secondary and private offerings. He has worked with a wide array of clients to create, grow, diversify and hedge wealth management portfolios. Mr. Lekanides now focuses the majority of his time structuring equity compensation plans for both public and private companies and he runs the trading desk for the Corporate and Executive Services Department. He has been with Maxim Group since its inception. He was previously employed as an executive manager with Investec Ernst & Company, an international specialist bank headquartered in South Africa and the UK. Mr. Lekanides holds a B.A. in Economics from St. John’s University.
Angelo Lekanides
Managing Director
Managing Director
Wealth Management
Brian Robertson is a 15 year veteran of the securities industry. As an investment manager, Mr. Robertson utilizes core model portfolios augmented by well researched, cyclical and tactical opportunities to create Alpha for his clients. Mr. Robertson started his career at Smith Barney as a private wealth manager for their corporate services division. He was recruited to Maxim Group from Laidlaw & Co UK where he was a managing director for eight years and cofounded Laidlaw Asset Management LLC. Mr. Robertson graduated from Elmira College with a degree in Business where he excelled in both Varsity Basketball and Golf. Away from the office, Brian is an avid golfer and traveler who spends most of his time with his young family.
Brian Robertson
Managing Director
Estate Planning/
Insurance
You work hard to accumulate your wealth and you should have the tools to preserve it for your future. That’s why at Maxim Group, we focus on helping each client systematically prepare for its disposition.
Estate taxes are the highest taxes many individuals will face. Yet, how our clients’ assets are owned, managed and preserved during their lifetimes – and how they’d prefer to have them disposed upon death – are matters that require experience, forward thinking and creative considerations.
Our Wealth Management team works with several financial, estate and life insurance planning specialists who are dedicated to providing a level of advanced planning, which enables each client to leave behind a legacy that will exist well beyond their years.
