Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Francis Novak is a financial professional with over 29 years of experience in the securities industry. John is currently registered with Maxim Group LLC, and has been with the firm since May 20, 2024. Prior to joining Maxim Group LLC, John was a registered representative at Clear Street LLC, Guggenheim Securities, LLC, Cantor Fitzgerald & Co., Jefferies LLC, Citigroup Global Markets Inc., J.P. Morgan Securities LLC, J.P. Morgan Securities Inc., Thomas Weisel Partners LLC, J.P. Morgan Securities Inc., Smith Barney Inc., and Gruntal & Co. Incorporated. John holds FINRA Series 7, 24, 55, 57TO, 99TO and SIE licenses. John is registered in Connecticut and New York. John's experience spans across various financial institutions and market sectors.
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.
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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2
CT
05/20/2024 - Present
Maxim Group LLC (Stamford CT)
NY
08/18/2023 - 03/27/2024
CLEAR STREET LLC (NEW YORK NY)
CT
04/09/2021 - 07/24/2023
GUGGENHEIM SECURITIES, LLC (Darien CT)
CA
05/07/2018 - 03/29/2021
CANTOR FITZGERALD & CO. (SAN FRANCISCO CA)
NY
09/08/2015 - 05/18/2018
JEFFERIES LLC (NEW YORK NY)
NY
10/06/2011 - 09/16/2015
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/01/2008 - 10/28/2011
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
02/27/2002 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
04/03/2001 - 02/26/2002
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
10/22/1996 - 04/09/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/07/1994 - 10/31/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
04/07/1994 - 04/12/1994
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
BC
Issued 04/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2006
Series 24 - General Securities Principal Examination
BC
Issued 12/13/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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