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Maxim Gorlov

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Orange, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-09-10
TX RA APPROVED 2018-09-10
  • CA RA
    APPROVED
    Since 2018-09-10
  • TX RA
    APPROVED
    Since 2018-09-10

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

2355 N Tustin St , Orange, CA 92865 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Questar Capital Corporation Minneapolis MN 02/2014 12/2016
Cambridge Investment Research, Inc. Fairfield IA 01/2017 12/2017
Greenshields Capital El Segundo CA 04/2017 07/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Anahem CA 09/2018 Present
Bank Of America, N.A. Anahem CA 09/2018 Present
  • 02/2014 → 12/2016
    Questar Capital Corporation
    Minneapolis, MN
  • 01/2017 → 12/2017
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 04/2017 → 07/2018
    Greenshields Capital
    El Segundo, CA
  • 09/2018 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Anahem, CA
  • 09/2018 → Present
    Bank Of America, N.A.
    Anahem, CA
Previous Registrations
  • 2017-04-19 → 2018-07-25
    Greenshields Capital Llc
    El Segundo, CA
  • 2015-01-26 → 2016-12-22
    Questar Asset Management, Inc.
    Minneapolis, MN
    El Segundo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-01-24
  • S66 Uniform Combined State Law Examination
    2015-01-24

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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