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Carol E Rein

Bofa Securities, Inc.

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About Carol E Rein

Carol Rein is a financial professional with over 30 years of experience in the industry. Carol is currently registered with Bofa Securities, Inc. and is licensed in all 50 states, Puerto Rico and the District of Columbia. Carol has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA SECURITIES LLC, and UBS SECURITIES LLC. Carol holds the Series 63, Series 52TO, Series 53, and Series 7 licenses.

Firm Information

Carol Rein 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.

check

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.

check

other

Negotiated fees for research-related services

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Carol Rein’s Registration & Firm History

PA

05/10/2019 - Present

Bofa Securities, Inc. (PHILADELPHIA PA)

PA

10/13/2008 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PHILADELPHIA PA)

NY

03/12/2009 - 11/01/2010

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

01/16/2006 - 06/18/2008

UBS SECURITIES LLC (NEW YORK NY)

NJ

04/29/1987 - 01/16/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 06/29/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/03/1999

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 04/25/1987

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 Carol E Rein.
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