Unclaimed
Maxwell Hunter Carlin is a securities professional currently registered with Mizuho Securities USA LLC. Maxwell has over 2 years of experience in the industry and has a Series 79, Series 63, and SIE. Maxwell previously worked with SMBC Nikko Securities America, Inc. Maxwell is licensed to offer securities in all states and jurisdictions.
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.
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.
1
2
NY
10/16/2023 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
08/30/2021 - 10/19/2023
SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)
BC
Issued 09/03/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 06/29/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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