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Matthew Richard Sarosy

Bofa Securities, Inc.

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About Matthew Richard Sarosy

Matthew Sarosy is an active representative at Bofa Securities, Inc. Previously, Matthew worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc., and Lehman Brothers Inc. Matthew has been in the securities industry since 2008. Matthew holds the Series 7, Series 24, Series 55, SIE, and Series 57TO licenses.

Firm Information

Matthew Sarosy 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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Matthew Sarosy’s Registration & Firm History

NY

10/02/2020 - Present

Bofa Securities, Inc. (NEW YORK NY)

NY

09/13/2013 - 10/02/2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

09/22/2008 - 08/12/2013

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

07/29/2008 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

02/21/2008 - 06/11/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/17/2011

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 11/19/2010

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/20/2008

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 Matthew Richard Sarosy.
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