Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lockyer is a financial professional with over 20 years of experience in the industry. David is currently registered with Bofa Securities, Inc. and is located in Stamford, CT. David has experience working with clients in various roles and has held previous positions at firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, MF Global Inc., and J.P. Morgan Securities Inc. David has passed multiple industry exams including the Series 7, Series 3, Series 63, Series 10, Series 24, and Series 4. David specializes in providing research-related services.
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
CT
05/10/2019 - Present
Bofa Securities, Inc. (STAMFORD CT)
NY
10/03/2012 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/11/2010 - 12/08/2011
MF GLOBAL INC. (NEW YORK NY)
NY
10/01/2008 - 05/13/2010
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
05/01/2001 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/23/1998 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 04/27/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/17/2003
Series 24 - General Securities Principal Examination
BC
Issued 06/24/2003
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 05/28/1998
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1998
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
Not sure David Lockyer is the right advisor for you? Invested Better is here to help.
