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John Peter Sergio

Maxim Group LLC

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About John Peter Sergio

John Peter Sergio is a financial professional with over 30 years of experience in the securities industry. John is currently registered with Maxim Group LLC, a firm based in New York, NY. John has a strong background in compliance and operations, having held roles as a Principal and Compliance Officer for several firms. John also holds a wide range of licenses and certifications, including Series 4, 7, 9, 10, 14, 24, 27, 63, 99TO, and SIE. John is a valuable resource for clients seeking financial advice and guidance.

Firm Information

John Sergio 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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John Sergio’s Registration & Firm History

NY

09/25/2002 - Present

Maxim Group LLC (NEW YORK NY)

NY

01/08/2019 - 01/31/2022

FINPOSTFIN LLC (New York NY)

NY

10/29/1999 - 10/25/2002

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

02/16/1994 - 10/29/1999

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

NA

02/17/1988 - 09/12/1990

LEHMAN BROTHERS INC.

NA

05/07/1986 - 06/26/1986

NORBAY SECURITIES INC.

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Licenses & Designations

BC

Issued 03/04/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2000

Series 14 - Compliance Officer Examination

BC

Issued 02/28/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/04/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/24/1994

Series 27 - Financial and Operations Principal Examination

BC

Issued 06/22/1994

Series 4 - Registered Options Principal Examination

BC

Issued 04/25/1994

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/1994

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 John Peter Sergio.
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