Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cary? Claim Your ProfileCary Howe Thompson is a registered representative with Bofa Securities, Inc. and has been in the financial industry since 1999. Cary Thompson is licensed in California and holds the Series 7, 79TO, 63, and Series 24 licenses. Cary Howe Thompson previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC and Bear, Stearns & Co. Inc. Cary Howe Thompson has a strong background in the securities industry, having worked at some of the largest and most reputable firms in the country. Cary Howe Thompson is a well-respected professional with a deep understanding of the financial markets. Cary Howe Thompson is committed to providing his clients with the highest level of service and personalized attention.
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
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
05/22/2008 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (LOS ANGELES CA)
CA
10/11/1999 - 07/29/2008
BEAR, STEARNS & CO. INC. (LOS ANGELES CA)
BC
Issued 01/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/11/2000
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 10/08/1999
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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