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Maxim Group LLC

Broker-dealer New York, NY maximgrp.com

SEC data as of Sep 30, 2026

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  1. Maxim Group LLC is a broker-dealer registered with the SEC, based in New York, NY.

    SEC

  2. It appears on 49 deals, most recently VerifyMe, Incdeal on Oct 1, 2026, advising the buyer.

    8-K

  3. Chardan Capital Marketsfirm, J.P. Morgan Securitiesfirm and Newbridge Securitiesfirm advised on deals with it.

    8-K

  4. Its team page and SEC filings name 18 people, including Tipton Hamlin Evans, Chief Compliance Officer.

    Form ADV

Deals

first 2 of 49CSV

DateDealIts roleWithSource
Oct 1, 2026VerifyMe, Inc · MergerBuyer's adviserOpenWorld (buyer)8-K
Sep 30, 2026Open World Ltd · MergerSeller's adviserOpenWorld (buyer)8-K

47 more deals

Going back to 2021.

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Firms on its deals

first 2 of 14CSV

FirmDeals togetherLatestSource
Chardan Capital Markets · Broker-dealer2Vyome Therapeutics, Inc8-K
J.P. Morgan Securities · Broker-dealer2Cepton Technologies, Inc8-K

12 more firms

11 broker-dealers and 1 other firm.

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People

first 2 of 18CSV

NameTitleSource
Tipton Hamlin EvansChief Compliance OfficerForm ADV
Christopher James FioreMemberForm ADV

16 more people

7 partners, principals and managing directors among them.

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On file

Name as filed
MAXIM GROUP LLCSEC
SEC file number
8-65337SEC
CRD
120708
CIK
1172614
LEI
254900OJ6JZO6SDMHQ83
Location
New York, NYSEC
Website
maximgrp.comSEC

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