Business Description

Maxim Financial Group is a full service financial firm with a professional staff highly erxperienced in a broad array of financial services. Our team approach and a on-call access to professional accounting, tax and legal resources guarantees that we can deal with just about any financial issue you have so you can reach your financial goals.

General Information

Gender:

Male

CRD#:

1277371

Name of Broker/Dealer:

O. N. Equity

Name of Custodial Firm:

Ohio National

States Licensed in:

OH, FL

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

BS, Marketing Bowling - Green State University
MBA - Baldwin Wallace College

Services

Investment Types:

Annuities, Bonds, Stocks, Insurance, Exchange Traded Funds (ETFs), Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses:

Series 7, Series 63

Insurance and Annuity Licenses:

Long Term Care, Variable Life, Variable Annuity, Life, Annuity, Disability

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

3000

Assets Managed by Firm:

$250 million

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$50,000

Compensation Methods:

Based on Assets, Hourly, Commissions

Fee % Based on Assets:

.8%-1.5%

Hourly Rate:

$150

Prepared By:

John R. Compton, CFP®