Bryce D. Humphrey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bryce Dawson Humphrey, who also goes by Bryce D Humphery, Bryce D Humphrey, Bryce Dawson Humphrey, Bryce Humphrey, was a registered financial professional .
Bryce is a previously registered financial professional and started their career in finance in 2007. Bryce had worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, Series 87, Series 86, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2022 - May 3, 2023
BOFA SECURITIES, INC.
February 18, 2020 - October 19, 2022
MORGAN STANLEY & CO. LLC
May 15, 2015 - March 5, 2016
MORGAN STANLEY & CO. LLC
August 27, 2010 - July 6, 2012
SCOTT & STRINGFELLOW, LLC
August 27, 2010 - July 6, 2012
SCOTT & STRINGFELLOW, LLC
December 18, 2008 - August 6, 2010
DAVENPORT & COMPANY LLC
April 18, 2007 - August 6, 2010
DAVENPORT & COMPANY LLC
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/22/2023
General Securities Representative ExaminationCurrent Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 69 |
Red Flags
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