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Lawrence Stuart Sweetwood

Maxim Group LLC

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About Lawrence Stuart Sweetwood

Lawrence Sweetwood is a financial professional with over 24 years of experience in the industry. Lawrence is currently registered with Maxim Group LLC in New York, NY. Prior to joining Maxim Group LLC, Lawrence was employed by Ladenburg Thalmann & Co. Inc., Rodman & Renshaw, LLC, Hudson Securities, Inc., Knight Equity Markets, L.P., Ladenburg, Thalmann & Co., Inc., Fleet Securities, Inc., Nash, Weiss & Co., and Nash, Weiss & Co.. Lawrence holds Series 7, Series 55, Series 63, Series 57TO and Series 79TO licenses.

Firm Information

Lawrence Sweetwood 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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Lawrence Sweetwood’s Registration & Firm History

NY

10/28/2015 - Present

Maxim Group LLC (NEW YORK NY)

NY

07/31/2012 - 10/27/2015

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

NJ

05/27/2011 - 07/24/2012

RODMAN & RENSHAW, LLC (JERSEY CITY NJ)

NJ

11/24/2009 - 05/27/2011

HUDSON SECURITIES,INC. (JERSEY CITY NJ)

NJ

03/07/2006 - 12/16/2009

KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)

NJ

06/23/2003 - 03/08/2006

HUDSON SECURITIES,INC. (JERSEY CITY NJ)

NY

02/20/2002 - 06/16/2003

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

TX

02/02/1998 - 09/28/2001

FLEET SECURITIES, INC. (DALLAS TX)

NJ

10/14/1997 - 02/02/1998

NASH, WEISS & CO. (JERSEY CITY NJ)

NJ

08/12/1997 - 10/14/1997

NASH, WEISS & CO. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 04/08/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/02/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/01/1997

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 Lawrence Stuart Sweetwood.
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