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Michael Brod

Maxim Financial Advisors LLC

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About Michael Brod

Michael Brod is a financial advisor with Maxim Financial Advisors LLC based in NEW YORK, NY. Michael is licensed to provide investment advice in California and New York. Michael has been in the financial services industry since 2018. The firm is registered as a Broker-Dealer (BD) and Investment Adviser (IA) in New York. The firm has offices in NEW YORK, NY. They offer a range of services, including portfolio management for individuals and businesses, and selection of other advisors. Maxim Financial Advisors LLC has a large client base, with over 754 accounts and $371 million in assets under management. Their client types include high-net-worth individuals, corporations and other businesses, and pension and profit-sharing plans.

Firm Information

Michael Brod is currently registered with Maxim Financial Advisors LLC. Maxim Financial Advisors LLC is an investment advisor registered with the SEC and located in NEW YORK, NY. They have 41 investment adviser representatives and manage approximately $371,163,779 in assets for 754 clients. The firm provides portfolio management services for individuals, businesses and pension plans. They also offer selection of other advisors services and participate in wrap fee programs.
Maxim Financial Advisors LLC

300 PARK AVE

NEW YORK, NY 10022

$371.16M

Assets Under Management

Not reported

Total Clients

36

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Michael Brod’s Registration & Firm History

NY

08/09/2021 - Present

Maxim Financial Advisors LLC (NEW YORK NY)

NY

09/27/2019 - 10/15/2021

M VEST LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/26/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 04/01/2019

Series 24 - General Securities Principal Examination

BC

Issued 11/09/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/08/2018

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 Michael Brod.
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