Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Brotherton is a registered representative with Bofa Securities, Inc. Robert has over 10 years of experience in the financial services industry. Robert has Series 6, 7, 63 and 65 licenses. Robert has worked for various firms throughout his career including LPL FINANCIAL LLC, METLIFE INVESTORS DISTRIBUTION COMPANY, NEW ENGLAND SECURITIES, VANGUARD MARKETING CORPORATION, and TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC. Robert's previous roles have included financial advisor, registered representative, and investment advisor.
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
11/29/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
SC
08/24/2016 - 11/26/2019
LPL FINANCIAL LLC (FORT MILL SC)
NC
01/13/2014 - 08/12/2016
METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)
NC
03/17/2014 - 06/26/2014
NEW ENGLAND SECURITIES (CHARLOTTE NC)
NC
10/28/2013 - 12/04/2013
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NC
04/08/2013 - 09/09/2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
IA
Issued 12/17/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2013
Series 7 - General Securities Representative Examination
BC
Issued 04/05/2013
Series 6 - Investment Company Products/Variable Contracts 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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