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BB

Brett N. Bond

RF M&A SERVICES LLC
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 2548081
BB

Professional summary

Brett Neal Bond is a registered financial professional currently at RF M&A SERVICES LLC located in Charlotte, North Carolina.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1995. Brett has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Neal Bond's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 25, 2024 - Present

RF M&A SERVICES LLC

Office #1: 227 W. Trade Street Suite 2200, Charlotte, NC 28202
BD
CRD#: 154250
CHARLOTTE, NC
Past

September 28, 2021 - April 12, 2024

REGIONS SECURITIES LLC

BD
CRD#: 159475
Charlotte, NC
Past

February 23, 2012 - December 31, 2015

CARY STREET PARTNERS

BD
CRD#: 128089
CHARLOTTE, NC
Past

August 16, 2004 - February 21, 2012

BOURNE PARTNERS SECURITIES, LLC

BD
CRD#: 131107
CHARLOTTE, NC
Past

June 22, 2004 - June 25, 2004

DRAGONFLY CAPITAL PARTNERS, LLC

BD
CRD#: 125199
MT PLEASANT, SC
Past

October 1, 1999 - March 3, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 1, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

April 30, 1998 - February 1, 1999

BOWLES HOLLOWELL CONNER & CO.

BD
CRD#: 17511
CHARLOTTE, NC
Past

February 2, 1998 - May 20, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

April 9, 1997 - February 2, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 19002
CHARLOTTE, NC
Past

June 20, 1995 - March 4, 1997

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(4/25/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/23/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/28/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/30/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RM
RF M&A SERVICES LLC
BLACKARCH SECURITIES LLC | RF M&A SERVICES LLC | BLACKARCH SECURITIES, LLC

CRD#: 154250 / SEC#: , 8-68621

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
227 W. Trade Street Suite 2200, Charlotte, NC 28202
Mailing Address
227 W. Trade Street Suite 2200, Charlotte, NC 28202
Phone number
(704) 414-6300
Established
North Carolina since 05/03/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLACKARCH PARTNERS, LLCSOLE MEMBER
EDWARDS, WILLIAM BRIANCHIEF COMPLIANCE OFFICER4368899
HAMILTON, GRANT THOMASVICE PRESIDENT/ REGISTERED PRINCIPAL4697922
HOLLOWAY, GLENN CHRISTOPHERPRESIDENT/DESIGNATED PRINCIPAL/FINOP/CFO/PFO/POO4566759

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RF M&A SERVICES LLC

CRD#: 154250Charlotte, NC 28202

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