Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Tod Bearden is a financial professional with over 20 years of experience in the industry. Philip has a proven track record of success in the financial services industry, having worked with both Bofa Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Philip currently holds the Series 7, Series 10, Series 24, Series 63, and Series 79TO licenses. Philip is committed to providing clients with personalized financial advice and guidance.
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
NC
05/10/2019 - Present
Bofa Securities, Inc. (CHARLOTTE NC)
NC
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
06/26/2007 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)
NY
07/01/2004 - 07/15/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IL
03/14/2001 - 07/01/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
BC
Issued 08/30/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/31/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2001
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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