Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Robert Thompson is a financial professional with over 30 years of experience in the industry. Bruce currently works at Bofa Securities, Inc. in Boston, MA. Bruce has previously held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC, BancAmerica Securities, Inc., First Union Capital Markets Corp. and Kidder, Peabody & Co. Incorporated. Bruce holds FINRA Series 7, 24, 63, 79TO and SIE licenses.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
MA
05/10/2019 - Present
Bofa Securities, Inc. (BOSTON MA)
NY
01/02/2009 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NC
10/01/1998 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)
CA
11/01/1996 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
NC
09/08/1995 - 10/29/1996
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
04/29/1993 - 01/18/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
06/03/1992 - 03/01/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/07/1992 - 04/22/1992
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 11/30/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/1991
Series 7 - General Securities Representative Examination
Active
Inactive
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
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