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Frank Stalaj

Maxim Group LLC

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About Frank Stalaj

Frank Stalaj is a financial professional with over 20 years of experience in the securities industry. Frank has a broad range of experience, having worked with various firms including Ladenburg Thalmann & Co. Inc., FBN Securities, Inc., Benjamin & Jerold Brokerage I, LLC and Tradition Asiel Securities Inc.. Currently, Frank is registered with Maxim Group LLC in New York and holds licenses for Series 7, 7A, 25, 57TO, 63, and SIE. Frank has a strong track record of success and is committed to providing his clients with personalized financial advice.

Firm Information

Frank Stalaj 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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Frank Stalaj’s Registration & Firm History

NY

01/04/2017 - Present

Maxim Group LLC (NEW YORK NY)

NY

04/07/2015 - 12/22/2016

LADENBURG THALMANN & CO. INC. (NEW YORK NY)

NY

03/03/2014 - 03/23/2015

FBN SECURITIES, INC. (NEW YORK NY)

NY

01/07/2009 - 05/21/2013

BENJAMIN & JEROLD BROKERAGE I, LLC (NEW YORK NY)

NY

03/01/2006 - 12/05/2008

RAYMOND C. FORBES & CO., INC. (NEW YORK NY)

NY

01/04/2005 - 02/17/2006

BASELINE SECURITIES, INC. (NEW YORK NY)

IL

07/14/2004 - 10/01/2004

O'CONNOR & COMPANY LLC (CHICAGO IL)

NY

03/15/2004 - 07/12/2004

HARPER & DOLAN, L.L.C. (COPIAGUE NY)

NY

02/20/2004 - 04/02/2004

FJG SECURITIES INC. (NEW YORK NY)

NY

09/18/2002 - 02/19/2004

GERMAN, FREDERICK JAY (NEW YORK NY)

NY

04/11/2001 - 08/08/2002

TRADITION ASIEL SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/04/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/07/2021

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2014

Series 7 - General Securities Representative Examination

BC

Issued 04/28/2004

Series 7A - Floor Broker Representative Exam

BC

Issued 08/05/2003

Series 25 - NYSE Trading Assistant Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Frank Stalaj. Review regulatory record here.
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