Corey Jochim
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Corey Jochim, who also goes by Corey M Jochim, Corey Martin Jochim, was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 2003. Corey had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2025 - April 24, 2026
VANGUARD MARKETING CORPORATION
November 21, 2018 - September 19, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 17, 2018 - September 19, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 9, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 6, 2011 - March 8, 2018
SCOTTRADE, INC.
October 23, 2009 - August 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 27, 2005 - December 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 6, 2003 - February 26, 2004
COUNTRY CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
