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November 27, 2015 9:23 AM ET

Capital Markets

Company Overview of Maxim Group, LLC

Company Overview

Maxim Group, LLC is an investment banking and securities brokerage firm. The firm offers retail brokerage, wealth management, securities underwriting, private placements, loan syndication, merger and acquisition, institutional fixed-income and option trading, asset management, and research and global institutional sales services. Maxim Group, LLC’s investment banking group focuses on middle market and emerging growth companies in energy, healthcare, technology, retail, and business services sectors. Maxim Group, LLC is based in New York, New York with additional offices in Woodbury, New York and Red Bank, New Jersey.

405 Lexington Avenue

The Chrysler Building

New York, NY 10174

United States





Key Executives for Maxim Group, LLC

Chairman and Chief Executive Officer
President and Head of Capital Markets
Chief Financial Officer
Age: 54
Chief Operating Officer
Head of Investment Banking and Executive Managing Director
Age: 47
Compensation as of Fiscal Year 2015.

Maxim Group, LLC Key Developments

Maxim Group LLC Appoints James Rhodes as Senior Vice President and Balance Sheet Strategist

Maxim Group LLC announced the expansion of its Regional and Community Bank Group with the appointment of James Rhodes, CFA as a Senior Vice President and Balance Sheet Strategist. Mr. Rhodes has over 15 years of financial services industry experience, including roles directing interest rate and structured products strategy effort at UBS, CSFB and Prudential Securities. He also headed the commercial mortgage backed securities (CMBS) effort at Countrywide Securities, and the agency debt strategy effort at ABN AMRO.

IFAN Financial, Inc. Retains Maxim Group LLC to Provide Strategic Corporate Planning and Investment Banking Services

IFAN Financial Inc. announced that it has retained Maxim Group LLC to provide strategic corporate planning and investment banking services. Maxim will focus on assisting IFAN Financial in its overall strategy for maximizing shareholder value through its full scope of investment banking services.

United Health Products, Inc. Retains Maxim Group, LLC as Financial Advisor

United Health Products Inc. announced the engagement of Maxim Group LLC. Maxim has been retained by the company as financial advisor.

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