Maxim Group’s Wealth Management services are tailored to meet the ever-changing needs of our clients and their families. Our Wealth Management professionals are committed to understanding clients’ needs and helping them to determine both long and short-term investment goals and objectives. In addition, we assist clients with understanding the available investment choices and arriving at realistic expectations regarding the performance and associated risks of those choices.

Client Services

Retirement Plans

Full range of flexible, investor-focused accounts, featuring a comprehensive range of self-directed investment choices and qualified 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

Comprehensive asset management account that combines all brokerage, checking, money market fund, and debit card activity

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 [email protected]

Management Team

Franco Zappone
Executive Managing Director
Adam Wachtel
Managing Director
Angelo Lekanides
Managing Director
Brian Robertson
Managing Director

Estate Planning/

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.

Financial Advisors

Maxim Financial Advisors is the Registered Investment Advisory affiliate of Maxim Group. Investment Advisory Representatives (IARs) associated with Maxim Financial Advisors develop portfolio strategies using managed-type accounts that are traditionally available to only institutional clients. IARs have access to some of the best research available on both the fixed income and equity side. Portfolios can be geared towards growth, income, preservation of capital, or many other types of financial objectives. Accounts are tailored specifically to each client, based on minimums and investment solutions for specific portfolio strategies, and are managed in-house or through third-party managers.
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