Corey A. Browning

UNITED BROKERAGE SERVICES,

FAYETTEVILLE, WV 25840

Some features on this profile are disabled

CRD#: 5121749

Professional summary

Corey Adam Browning, who also goes by Corey A Browning, is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Fayetteville, West Virginia.

Corey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Corey has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Corey A Browning

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

WV Bankers Association - Charleston, WV - Board of Trustees Member - 2 hrs/mth - not securities related - volunteer - no compensation - helping with the yearly planning and operation of the WV School of Banking

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Corey Adam Browning's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Corey Adam Browning's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 6, 2016 - Present

UNITED BROKERAGE SERVICES, INC

Office #1: 145 West Maple Avenue, Fayetteville, WV 25840Office #2: 2004 West Webster Road, Summersville, WV 26651

RIA

CRD#: 39062

FAYETTEVILLE, WV

Current

August 20, 2007 - Present

UNITED BROKERAGE SERVICES, INC

Office #1: 145 West Maple Avenue, Fayetteville, WV 25840Office #2: 2004 West Webster Road, Summersville, WV 26651

RIA

CRD#: 39062

FAYETTEVILLE, WV

Past

April 18, 2006 - July 11, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

OAK HILL, WV

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA

Registered Investment Advisory firm - SEC (1/9/2015 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/26/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (1/30/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/22/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/21/2015 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(12/10/2020)

IAR

Florida
(12/11/2020)

Ohio
(10/28/2020)

IAR

Ohio
(10/28/2020)

South Carolina
(6/17/2021)

Virginia
(2/10/2020)

West Virginia
(8/20/2007)

IAR

West Virginia
(10/6/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/26/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/26/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA

Registered Investment Advisory firm - SEC (1/9/2015 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/26/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (1/30/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/22/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/21/2015 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

514 Market Street, Parkersburg, WV 26101

Mailing Address

P. O. Box 1508, Parkersburg, WV 26102-1508

Phone number

(888) 424-6158

Established

West Virginia since 04/24/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

101

SEC notice filing (17 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025 ADV BROCHURE ANNUAL AMENDMENT (3/31/2025)

2025 CLIENT DIRECTED WRAP BROCHURE ADV AMENDMENT (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED ASSET MANAGEMENT CORP.	OWNER
ADAMS, RICHARD MATTHEW JR	CHAIRMAN OF THE BOARD/DIRECTOR	2656091
BOARD, ANGIE MARIE	FINOP	6464533
EARL, MICHEAL LEN	CHIEF COMPLIANCE OFFICER	4266715
GURTIS, JULIE RITCHIE	DIRECTOR
HUMPHREY, MATTHEW LEE	CHIEF EXECUTIVE OFFICER/DIRECTOR	5943475
MOCK, DONALD FREDERICK	DIRECTOR	5059205
MUDLAFF, THOMAS JAMES	CHIEF OPERATIONS OFFICER	2359466
REYNOLDS, FRANK KEVIN	DIRECTOR	5731814
SHAVER, AMI LEE	DIRECTOR	2771684

Regulatory assets under management

Total Number of Accounts	1,889
AUM (Assets Under Management)	$ 389,130,559

Disclosures

Bond

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.

Similar Advisors

Antwan Palmer

PFS INVESTMENTS INC.

Darien, GA

Walter Pachniuk

TRUSTMONT ADVISORY GROUP, INC.

IAR

NEWTOWN, CT

Madison Epperson

FBL MARKETING SERVICES, LLC

Nevada, IA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Corey A. Browning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Corey Adam Browning's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Corey Adam Browning's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED BROKERAGE SERVICES, INC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

UNITED BROKERAGE SERVICES, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/26/2016

Series 63

Date: 5/26/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2015

Series 6

Date: 4/17/2006

FINRA

Current Firm

UNITED BROKERAGE SERVICES, INC

Contact information

SEC notice filing (17 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED BROKERAGE SERVICES, INC

TRUST BUT VERIFY

Similar Advisors