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Timmy Woon Moi

Maxim Group LLC

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About Timmy Woon Moi

Timmy Woon Moi is a registered representative of Maxim Group LLC. Timmy has over 30 years of experience in the financial services industry. Timmy is currently registered with FINRA and the state of New York. Timmy holds the Series 4, 7, 24, 55, 57TO, and 63 licenses. Timmy has previously worked at New Albion Partners LLC, LinkBrokers Derivatives LLC, Maxim Group LLC, Investec Ernst & Company, Schroder & Co. Inc., K. Aufhauser & Company, Inc., Pruco Securities Corporation, Lehman Brothers Inc., and South Richmond Securities, Inc.

Firm Information

Timmy Moi 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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Timmy Moi’s Registration & Firm History

NY

03/04/2014 - Present

Maxim Group LLC (NEW YORK NY)

NY

07/06/2012 - 02/13/2014

NEW ALBION PARTNERS LLC (NEW YORK NY)

NY

02/28/2011 - 06/28/2012

LINKBROKERS DERIVATIVES LLC (NEW YORK NY)

NY

12/03/2002 - 03/09/2011

MAXIM GROUP LLC (NEW YORK NY)

NY

05/17/2000 - 12/20/2002

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

01/16/1995 - 05/22/2000

SCHRODER & CO. INC. (NEW YORK NY)

NE

03/01/1993 - 01/24/1995

K. AUFHAUSER & COMPANY, INC. (OMAHA NE)

NJ

10/23/1990 - 04/06/1992

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NY

05/22/1990 - 09/06/1990

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

07/25/1990 - 08/28/1990

SOUTH RICHMOND SECURITIES, INC.

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Licenses & Designations

BC

Issued 04/30/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/09/2024

Series 24 - General Securities Principal Examination

BC

Issued 10/07/1993

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/14/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/19/1990

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 Timmy Woon Moi.
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