Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Robert Docherty is a registered representative with Bofa Securities, Inc. Wayne has been in the securities industry since 2000. He is a registered principal with the Series 4, Series 24 and Series 53 exams and has a Series 63 license. He also holds the Series 7 and SIE exams. Wayne is located in NEW YORK, NY and has been with Bofa Securities, Inc. since 2019. Prior to Bofa Securities, Inc., Wayne was a registered representative with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
09/25/2007 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)
NC
06/13/2000 - 05/31/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
BC
Issued 03/17/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/28/2005
Series 4 - Registered Options Principal Examination
BC
Issued 09/27/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2000
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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