Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Corey? Claim Your ProfileCorey R. Pothier is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., providing financial services to individuals and businesses. Corey has been in the financial industry since 2003 and has a broad range of experience. Corey holds the Series 6, 7, 24, 63 and 65 licenses. Corey is also a registered representative in Connecticut and Rhode Island. Corey's previous experience includes time with UBS Financial Services Inc. and Banc of America Investment Services, Inc.. In addition to Corey's financial services, Corey also works as a basketball referee.
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
10/06/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
MA
04/03/2009 - 09/01/2010
UBS FINANCIAL SERVICES INC. (WORCESTER MA)
RI
10/20/2004 - 01/27/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LINCOLN RI)
NY
04/03/2003 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
IA
Issued 10/03/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2004
Series 7 - General Securities Representative Examination
BC
Issued 04/01/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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