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Jo-ann Ort

Maxim Group LLC

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About Jo-ann Ort

Jo-ann Ort is a securities professional with over 25 years of experience in the financial services industry. She is currently registered with Maxim Group LLC in New York. Jo-ann has a strong background in trading and has held previous roles at Ticonderoga Securities LLC, Collins Stewart LLC., Collins Stewart Inc., Tullett Liberty Securities Inc., Burlington Capital Markets Inc., Wexford Clearing Services, LLC, Dalton Kent Securities Group, Inc., PaineWebber Incorporated, and Stuart, Coleman & Co., Inc. Jo-ann holds Series 7, Series 55, Series 57TO, and SIE licenses.

Firm Information

Jo-ann Ort 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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Jo-ann Ort’s Registration & Firm History

NY

01/27/2012 - Present

Maxim Group LLC (NEW YORK NY)

NY

05/18/2009 - 01/31/2012

TICONDEROGA SECURITIES LLC (NEW YORK NY)

NY

08/10/2007 - 06/03/2009

COLLINS STEWART LLC. (NEW YORK NY)

NY

11/13/2006 - 08/10/2007

COLLINS STEWART INC. (NEW YORK NY)

NY

01/08/2005 - 12/05/2006

TULLETT LIBERTY SECURITIES INC. (NEW YORK NY)

NY

12/09/2003 - 01/21/2005

BURLINGTON CAPITAL MARKETS INC. (NEW YORK NY)

NY

10/10/2001 - 12/08/2003

WEXFORD CLEARING SERVICES, LLC (NEW YORK NY)

NY

04/26/1999 - 07/16/2001

DALTON KENT SECURITIES GROUP, INC. (NEW YORK NY)

NJ

12/16/1998 - 04/01/1999

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

03/12/1996 - 11/09/1998

STUART, COLEMAN & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/02/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/11/1996

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 Jo-ann Ort.
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