Maxim Group LLC

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Maxim Group LLC is a leading full-service investment bank, securities and wealth management firm headquartered in mid-town Manhattan and is a registered broker-dealer with the SEC, the Municipal Securities Rulemaking Board (MSRB), FINRA and SIPC. www.finra.org | http://www.maximgrp.com

Headquarters

Employees

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Michael Rabinowitz

Chairman and Chief Executive Officer

Michael Rabinowitz

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Christopher Fiore

President

Clifford A. Teller

Chairman And CEO

Michael Quintavalla

Chief Administrative Officer, Investment Banking

COO Emeritus

Managing Director, Equity Research Analyst, TMT

Senior Managing Director - Capital Markets / Institutional Sales / Prime Brokerage

Mitchell J. Speiser

Managing Director, Research Content — Equity Research

Patricia Serafin

Head Of Surveillance & Central Compliance

Senior Managing Director, Head Of Healthcare Investment Banking

Managing Director - Healthcare Investment Banking

Human Resources Director

Teams

Leadership Team

26 members

Investment Banking and Trading

14 members

Administrative and Corporate Services

11 members

Research and Analysis

5 members

Sales and Business Development

4 members

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