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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

Lysandra Danielle maxim

Advisor at CETERA INVESTMENT ADVISERS LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:653b897c-45f3-c8fb-c65b-a5f20f369bc2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 9, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 10, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Dec 10, 1991
First registration: May 9, 2003
Dual registered: yes, broker-dealer
Other names: LEE MAXIM|MAXIM LEE|EYSANDRA DANIELLE MACIM
IAPD individual key: 2141537

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	NEW YORK, NY	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Apr 3, 2018	Mar 25, 2021	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jul 11, 2006	Sep 28, 2006	no	BRONX, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 9, 2003	Oct 5, 2004	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
JANNEY MONTGOMERY SCOTT LLC	CETERA INVESTMENT ADVISERS LLC	Mar 25, 2021	Jun 29, 2023	826	Firm change after gap	Ibd to ibd
HSBC SECURITIES (USA) INC.	JANNEY MONTGOMERY SCOTT LLC	Sep 28, 2006	Apr 3, 2018	4,205	Firm change after gap	Other
CHASE INVESTMENT SERVICES CORP.	HSBC SECURITIES (USA) INC.	Oct 5, 2004	Jul 11, 2006	644	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Apr 3, 2018 to Mar 25, 2021factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jul 11, 2006 to Sep 28, 2006factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 9, 2003 to Oct 5, 2004factForm ADV

Dated events

No dated event names this entity yet.