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Christopher Thomas Brothers

Maxim Group LLC

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About Christopher Thomas Brothers

Christopher Thomas Brothers is a financial professional with over 30 years of experience in the industry. Christopher is currently registered with Maxim Group LLC. Christopher has also been previously registered with Advanced Equities, Inc., KSH Investment Group, Inc., GKN Securities Corp., Americorp Securities, Inc., and Whale Securities Co., L.P.. Christopher is registered with the Financial Industry Regulatory Authority (FINRA) as a General Securities Principal and a General Securities Representative. He is also licensed as an Investment Advisor Representative in all 50 states.

Firm Information

Christopher Brothers is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Christopher Brothers’s Registration & Firm History

FL

11/18/2009 - Present

Maxim Group LLC (Ft Lauderdale FL)

NY

10/29/2007 - 11/23/2009

ADVANCED EQUITIES, INC. (NEW YORK NY)

NY

03/24/2003 - 10/30/2007

MAXIM GROUP LLC (NEW YORK NY)

NY

01/09/1998 - 03/20/2003

KSH INVESTMENT GROUP, INC. (GREAT NECK NY)

NY

07/09/1993 - 01/06/1998

GKN SECURITIES CORP. (NEW YORK NY)

NY

11/21/1995 - 12/13/1995

AMERICORP SECURITIES, INC. (NEW YORK NY)

NY

10/02/1992 - 07/08/1993

WHALE SECURITIES CO., L.P. (NEW YORK NY)

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Licenses & Designations

IA

Issued 04/21/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/07/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/09/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/06/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for Christopher Thomas Brothers. Review regulatory record here.
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