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Claudia Martin

Maxim Group LLC

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About Claudia Martin

Claudia Martin is a financial professional with over 28 years of experience in the securities industry. Claudia is registered with Maxim Group LLC and holds a Series 7, Series 63, and Series 99TO license. Previously, Claudia was registered with InvestEC Ernst & Company and Royce Investment Group, Inc. Claudia is licensed in New York and New Jersey.

Firm Information

Claudia Martin 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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Claudia Martin’s Registration & Firm History

NY

10/23/2002 - Present

Maxim Group LLC (WOODBURY NY)

NY

10/29/1999 - 10/23/2002

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

01/11/1995 - 10/29/1999

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

NY

02/04/1994 - 06/15/1994

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

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Licenses & Designations

BC

Issued 02/14/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/03/1994

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 no public disclosures for Claudia Martin.
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