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Brian Robert Roth

Bofa Securities, Inc.

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About Brian Robert Roth

Brian Roth is a financial professional with over 4 years of experience in the industry. Brian is currently registered with Bofa Securities, Inc. in Minneapolis, MN and has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Brian holds the Series 63, Series 7, and SIE licenses. Brian has experience working with clients in Minnesota.

Firm Information

Brian Roth is currently registered with Bofa Securities, Inc.. Bofa Securities, Inc. is a corporation formed in September 2015 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Bofa Securities provides research-related services and publishes periodicals. The firm has 314 registered representatives.
Bofa Securities, Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

Not reported

Assets Under Management

Not reported

Total Clients

1,401

Total Financial Advisors

Services Offered

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.

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research-related services

Research-related services

Fee Structure

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.

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other

Negotiated fees for research-related services

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Brian Roth’s Registration & Firm History

MN

05/10/2019 - Present

Bofa Securities, Inc. (MINNEAPOLIS MN)

MN

11/17/2015 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 01/14/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/17/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Brian Robert Roth.
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