Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Holly? Claim Your ProfileHolly Vocal is a financial professional with over 20 years of experience in the industry. Holly currently works for Bofa Securities, Inc. in their SAN FRANCISCO, CA office. Prior to joining Bofa Securities, Inc., Holly has held positions at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, STIFEL, NICOLAUS & COMPANY, INCORPORATED and E.J. DE LA ROSA & CO., INC.. Holly is licensed and registered in 50 states. Holly holds Series 7, Series 50, Series 52TO, Series 53, Series 79TO and SIE licenses.
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. (SAN FRANCISCO CA)
CA
10/19/2018 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
04/01/2014 - 09/14/2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN FRANCISCO CA)
CA
07/08/2003 - 04/23/2014
E.J. DE LA ROSA & CO., INC. (SAN FRANCISCO CA)
BC
Issued 11/05/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 09/14/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 07/07/2003
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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