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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Corey? Claim Your ProfileCorey J. Maxwell is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Corey has been in the financial services industry since March 2019. Corey holds FINRA Series 6, 63 and SIE licenses and a state-issued Uniform Investment Adviser Law Examination (Series 65) license. Corey is registered to provide securities and investment advisory services in Maine, Massachusetts, New Hampshire, Rhode Island and Texas. Corey has experience with individual clients, high-net-worth individuals, corporations and other businesses, charitable organizations, pension plans, and insurance companies. Corey offers services including, but not limited to, performance measurement reports, allocation modeling, investment policy statements (IPS), research reports, and services, portfolio management for businesses and individuals, and selection of other advisers. Corey's previous employment includes Citizens Securities, Inc. and Citizens Bank.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
RI
02/03/2025 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)
RI
03/03/2021 - 11/02/2021
CITIZENS SECURITIES, INC. (JOHNSTON RI)
RI
10/29/2018 - 12/31/2020
CITIZENS SECURITIES, INC. (NARRAGANSETT RI)
IA
Issued 03/25/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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