BOFA SECURITIES, INC.
Adviser information for BOFA SECURITIES, INC. last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 314 |
|---|---|
| Investment Advisory/Research | 314 |
| Registered Broker-Dealer Representatives | 314 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Publication of periodicals or newslettersRESEARCH-RELATED SERVICES |
|---|---|
| Compensation | NEGOTIATED FEES FOR RESEARCH-RELATED SERVICES |
| Other Business Activities | Broker-dealerFutures commission merchant |
Identifiers
| SEC RIA File Number | 801-112640 |
|---|---|
| SEC ERA File Number | 801-112640 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283942 |
| Legal Entity Identifier | 549300HN4UKV1E2R3U73 |
Principal Office
ONE BRYANT PARKNEW YORK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 646-743-2734, Fax: None
Websites
Chief Compliance Officer
CLAIRE BLISS
100 N TRYON ST
NC1-007-27-01
CHARLOTTE
NC
United States
Tel:
347-754-0384
C***********@*******M
(Full email address available in API data)
Regulatory Contact
ANGELIQUE NORWOOD
HEAD OF BANK OF AMERICA-MERRILL LYNCH INTAKE BUREAU
100 N TRYON ST
NC1-007-14-30
CHARLOTTE
NC
United States
Tel:
704-930-9699
Fax:
212-553-3158
I**********@****************M
(Full email address available in API data)
Industry Affiliates
| BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, FRANKFURT | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, MILAN BRANCH | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, SUCURSAL EN ESPA�A | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BANK OF AMERICA, NATIONAL ASSOCIATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institutionInsurance company or agency |
| BOFA SECURITIES EUROPE SA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BOFA SECURITIES INDIA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
| BOFA SECURITIES JAPAN CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchantInsurance company or agency |
| MERRILL LYNCH (ASIA PACIFIC) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| MERRILL LYNCH ARGENTINA S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
| MERRILL LYNCH CANADA INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH EQUITIES (AUSTRALIA) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH INTERNATIONAL | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH INTERNATIONAL (DIFC BRANCH) | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH INTERNATIONAL, LLC-SEOUL BRANCH | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
| MERRILL LYNCH ISRAEL LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH MARKETS SINGAPORE PTE.LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH MEXICO, S.A. DE C.V., CASA DE BOLSA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH S.A. CORRETORA DE TITULOS E VALORES MOBILARIOS | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH SECURITIES (TAIWAN) LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
| MERRILL LYNCH SOUTH AFRICA PROPRIETARY LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERRILL LYNCH, KINGDOM OF SAUDI ARABIA COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GUARDINO, JOSEPH ANTHONY JR | Individual | – | CHIEF OPERATIONS OFFICER & FINOP | 09/2015 | < 5% |
| BANK OF AMERICA CORPORATION | Domestic Entity | NB HOLDINGS CORPORATION | SOLE SHAREHOLDER | 10/1998 | > 75% |
| NB HOLDINGS CORPORATION | Domestic Entity | – | SOLE STOCKHOLDER | 05/2019 | > 75% |
| RAE, GLEN ALEXANDER | Individual | – | CHIEF LEGAL OFFICER | 08/2019 | < 5% |
| ALAM, SYED FARUQE | Individual | – | CHIEF FINANCIAL OFFICER | 09/2019 | < 5% |
| ZUBERI, SOOFIAN J J | Individual | – | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 02/2022 | < 5% |
| CHEPUCAVAGE, LAURA P | Individual | – | DIRECTOR, STATE DESIGNATED PRINCIPAL | 02/2022 | < 5% |
| GADKARI, SARANG RAJAN | Individual | – | DIRECTOR | 02/2022 | < 5% |
| BHATIA, KASHYAP P | Individual | – | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 08/2022 | < 5% |
| BLISS, CLAIRE RENEE | Individual | – | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 09/2022 | < 5% |