Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lloyd? Claim Your ProfileLloyd Rosenbaum is a financial professional with over 25 years of experience in the industry. Lloyd is currently registered with Bofa Securities, Inc. and has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and J.P. Morgan Securities LLC. Lloyd has a broad range of experience, including working as a registered representative and principal.
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
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
06/09/2014 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/01/2008 - 06/16/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/18/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/27/1998 - 07/21/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
09/18/1996 - 07/23/1997
BEAR, STEARNS & CO. INC.
BC
Issued 08/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2015
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/24/1998
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
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