Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bryon? Claim Your ProfileBryon Rockwell is a financial professional with over 28 years of experience in the industry. Bryon Rockwell is currently registered with Bofa Securities, Inc. and has been with them since May 2019. Prior to this, Bryon Rockwell was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from August 1994 to May 2019 and BANC OF AMERICA SECURITIES LLC from October 2010 to November 2010. Bryon Rockwell has a wide range of experience and holds licenses in Series 3, 7, 52TO, 53 and SIE. Bryon Rockwell is registered to provide investment advice in all 50 states, the District of Columbia and Puerto Rico. Bryon Rockwell provides investment advice in the area of fixed income and other securities.
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
CA
05/10/2019 - Present
Bofa Securities, Inc. (LOS ANGELES CA)
CA
08/25/1994 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
10/04/2010 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (LOS ANGELES CA)
BC
Issued 08/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/29/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1996
Series 3 - National Commodity Futures Examination
BC
Issued 08/17/1994
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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