Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maxim? Claim Your ProfileMaxim Borbat is a financial professional with over 15 years of experience in the financial services industry. Maxim is currently registered with RBC Capital Markets, LLC and has previously worked with several other firms including RBC CMA LLC, CITADEL SECURITIES LLC, RBC CAPITAL MARKETS ARBITRAGE, S.A., RBC CAPITAL MARKETS, LLC, and UBS SECURITIES LLC. Maxim holds multiple licenses including Series 7, Series 24, Series 55, Series 63, Series 14, Series 26, Series 39, Series 52TO, Series 57TO, Series 6TO, Series 82TO, Series 99TO, and SIE. Maxim is an active member of the financial services industry and has a deep understanding of the markets.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
07/12/2018 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
07/12/2018 - 09/16/2024
RBC CMA LLC (NEW YORK NY)
NY
05/20/2014 - 08/07/2017
CITADEL SECURITIES LLC (NEW YORK NY)
NY
09/30/2011 - 02/07/2014
RBC CAPITAL MARKETS ARBITRAGE, S.A. (NEW YORK NY)
NY
04/27/2009 - 02/07/2014
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
12/13/2006 - 11/19/2008
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 02/06/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 11/18/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/12/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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