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Maureen Cruz

Maxim Group LLC

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About Maureen Cruz

Maureen Cruz is a registered representative with Maxim Group LLC. Maureen has been in the industry since December 5, 2007. Maureen has previously worked at HFP Capital Markets LLC, Dawson James Securities, Inc., and Capital Growth Financial, LLC. Maureen has passed the Series 11 exam.

Firm Information

Maureen Cruz 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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Maureen Cruz’s Registration & Firm History

NY

03/06/2014 - Present

Maxim Group LLC (NEW YORK NY)

NY

02/26/2009 - 02/25/2014

HFP CAPITAL MARKETS LLC (NEW YORK NY)

NY

02/09/2008 - 03/23/2009

DAWSON JAMES SECURITIES, INC. (NEW YORK NY)

NY

11/27/2007 - 02/08/2008

CAPITAL GROWTH FINANCIAL, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/26/2007

Series 11 - Assistant Representative-Order Processing Qualification Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 9 public disclosures for Maureen Cruz. Review regulatory record here.
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