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Kevin Michael Maxwell

Samuel A. Ramirez & Company, Inc.

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About Kevin Michael Maxwell

Kevin Michael Maxwell is a registered representative with Samuel A. Ramirez & Company, Inc., based in New York. Kevin has over 35 years of experience in the financial services industry. Kevin holds Series 7, 24, 52TO, 53, 63, and 72 licenses.

Firm Information

Kevin Maxwell is currently registered with Samuel A. Ramirez & Company, Inc.. Samuel A. Ramirez & Company, Inc. is a corporation formed in 1971. It is registered in 51 states and the District of Columbia, as well as with the Securities and Exchange Commission (SEC). The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

118

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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Kevin Maxwell’s Registration & Firm History

NY

12/20/2023 - Present

Samuel A. Ramirez & Company, Inc. (NEW YORK NY)

NJ

07/31/2018 - 06/21/2023

PIPER SANDLER & CO. (Red Bank NJ)

NY

10/02/2017 - 08/01/2018

BREAN CAPITAL, LLC (NEW YORK NY)

NJ

06/05/2015 - 09/21/2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED (FLORHAM PARK NJ)

NY

07/01/2013 - 06/05/2015

STERNE, AGEE & LEACH, INC. (NEW YORK NY)

NY

11/17/2008 - 07/02/2013

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

11/19/1985 - 09/17/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

07/13/1989 - 10/23/1995

LEHMAN GOVERNMENT SECURITIES INC.

NA

11/08/1988 - 07/18/1994

LEHMAN SPECIAL SECURITIES INC.

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Licenses & Designations

BC

Issued 01/29/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/02/2012

Series 53 - Municipal Securities Principal Examination

BC

Issued 12/21/2009

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/16/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kevin Michael Maxwell.
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