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Douglas Scott Baron

Bofa Securities, Inc.

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About Douglas Scott Baron

Douglas Scott Baron is a financial professional with over 20 years of experience in the industry. Douglas is a registered representative of Bofa Securities, Inc. based in Los Angeles, CA, with a branch office located at 333 S HOPE ST, GBAM - GLOBAL FICC - MBAM - PRIVATE PUBLIC FINANCE, LOS ANGELES, CA 90071. Douglas has held previous positions with DEUTSCHE MORGAN GRENFELL INC. in NEW YORK, NY. Douglas is a licensed Series 7, 63, 52TO, 53 and SIE. Douglas specializes in Research-Related services for Bofa Securities, Inc.

Firm Information

Douglas Baron 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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Douglas Baron’s Registration & Firm History

CA

08/29/2019 - Present

Bofa Securities, Inc. (LOS ANGELES CA)

NY

03/03/1997 - 03/06/1998

DEUTSCHE MORGAN GRENFELL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/02/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/03/2020

Series 53 - Municipal Securities Principal Examination

BC

Issued 11/14/2019

Series 7TO - General Securities Representative Examination

BC

Issued 08/29/2019

Series 52TO - Municipal Securities Representative Examination

BC

Issued 08/02/2019

SIE - Securities Industry Essentials Examination

BC

Issued 02/28/1997

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 Douglas Scott Baron.
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