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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

BOFA SECURITIES, INC.

CRD 283942

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b19d2b5f-b233-1ff4-8923-359deca31d58

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 13
On other graphs: 2
Observed: Feb 15, 2018 to Jul 29, 2026
113 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Bofa Securities, Inc.

Intermediary · shared crd

Venture Capitalidentity

BofA Securities, Inc.

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=317.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-07-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 317
Advisory employees: 317
Offices: 6Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-112640
CRD: 283942
Filings on the tape: 113
First filed: Feb 15, 2018
Latest filed: Jul 29, 2026
Organised: Corporation, DE
Website: bankofamerica.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BANK OF AMERICA CORPORATION	SOLE SHAREHOLDER	E	yes	10/1998	Feb 15, 2018	Nov 4, 2024
CHEPUCAVAGE, LAURA P	DIRECTOR, STATE DESIGNATED PRINCIPAL	Na	yes	02/2022	Feb 3, 2022	Nov 4, 2024
GADKARI, SARANG RAJAN	Director	Na	yes	02/2022	Feb 3, 2022	Nov 4, 2024
MCQUEEN, MATTHEW C	Director	Na	yes	05/2024	May 29, 2024	Nov 4, 2024
NB HOLDINGS CORPORATION	SOLE STOCKHOLDER	E	yes	05/2019	Feb 15, 2018	Nov 4, 2024
ZUBERI, SOOFIAN J J	DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL	Na	yes	02/2022	Dec 15, 2020	Nov 4, 2024
ALAM, SYED FARUQE	CHIEF FINANCIAL OFFICER	Na	no	09/2019	Sep 26, 2019	Nov 4, 2024
BHATIA, KASHYAP P	CHIEF COMPLIANCE OFFICER / BROKER DEALER	Na	no	08/2022	Aug 31, 2022	Nov 4, 2024
BLISS, CLAIRE RENEE	CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER	Na	no	09/2022	Sep 6, 2022	Nov 4, 2024
GUARDINO, JOSEPH ANTHONY JR	CHIEF OPERATIONS OFFICER & FINOP	Na	no	09/2015	Feb 15, 2018	Nov 4, 2024
RAE, GLEN ALEXANDER	CHIEF LEGAL OFFICER	Na	no	08/2019	Aug 27, 2019	Nov 4, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, FRANKFURT	n/a	n/a	n/a	N	yes	n/a
BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, MILAN BRANCH	n/a	n/a	n/a	N	yes	n/a
BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, SUCURSAL EN ESPA?A	n/a	n/a	n/a	N	yes	n/a
BANK OF AMERICA, NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a
BOFA SECURITIES EUROPE SA	n/a	n/a	n/a	N	yes	n/a
BOFA SECURITIES INDIA LIMITED	n/a	n/a	n/a	N	yes	n/a
BOFA SECURITIES JAPAN CO., LTD.	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH (ASIA PACIFIC) LIMITED	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH ARGENTINA S.A.	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH CANADA INC.	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH EQUITIES (AUSTRALIA) LIMITED	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH INTERNATIONAL	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH INTERNATIONAL (DIFC BRANCH)	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH INTERNATIONAL, LLC-SEOUL BRANCH	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH ISRAEL LIMITED	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH MARKETS SINGAPORE PTE.LTD.	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH MEXICO, S.A. DE C.V., CASA DE BOLSA	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH S.A. CORRETORA DE TITULOS E VALORES MOBILARIOS	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH SECURITIES (TAIWAN) LTD.	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH SOUTH AFRICA PROPRIETARY LIMITED	n/a	n/a	n/a	N	yes	n/a
MERRILL LYNCH, KINGDOM OF SAUDI ARABIA COMPANY	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	10	no
Houston	TX	United States	4	no
Stamford	Ct	United States	2	yes
Washington	Dc	United States	1	no
Atlanta	Ga	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 8 of 12

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 2, 2026	$0	$0	317	317	5	n/a	n/a
2024	Feb 20, 2025	$0	$0	314	314	6	n/a	n/a
2023	Mar 22, 2024	n/a	n/a	314	314	4	n/a	n/a
2022	Mar 20, 2023	n/a	n/a	348	348	4	n/a	n/a
2021	Mar 21, 2022	n/a	n/a	242	242	4	n/a	n/a
2020	Mar 22, 2021	n/a	n/a	313	313	4	n/a	n/a
2019	Mar 23, 2020	n/a	n/a	300	300	3	n/a	n/a
2018	Mar 25, 2019	n/a	n/a	293	293	3	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	317	314	6	6

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	6	Jun 25, 2019	Jun 24, 2019	NEWPORT BEACH, CA	Firm absorbed	Other	66.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	7	May 10, 2019	May 10, 2019	NEW YORK, NY	Channel change	Other	0.0%

Relationships

Affiliated with (2)

← MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV
← MANAGED ACCOUNT ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV

Registered with (12)

← WARREN BROOKS WILLIAMSONAdvisorregistration: previous registration
Mar 27, 2025 to May 2, 2025factForm ADV
← RYAN PATRICK ALLENAdvisorregistration: previous registration
Nov 13, 2023 to Nov 17, 2023factForm ADV
← John PorterAdvisorregistration: previous registration
May 10, 2019 to Jul 12, 2019factForm ADV
← CHANDA LEGERAdvisorregistration: previous registration
May 10, 2019 to Jun 28, 2019factForm ADV
← Sandra LewandowskiAdvisorregistration: previous registration
May 10, 2019 to Jun 28, 2019factForm ADV
← John HolodakAdvisorregistration: previous registration
May 10, 2019 to Jun 25, 2019factForm ADV
← Michael R. JoverAdvisorregistration: previous registration
May 10, 2019 to Jun 25, 2019factForm ADV
← Suzanne SkradskiAdvisorregistration: previous registration
May 10, 2019 to Jun 25, 2019factForm ADV
← Marc GriffisAdvisorregistration: previous registration
May 10, 2019 to Jun 25, 2019factForm ADV
← Jessica WilliamsAdvisorregistration: previous registration
May 10, 2019 to Jun 25, 2019factForm ADV
← Dennis WalstonAdvisorregistration: previous registration
May 10, 2019 to Jun 25, 2019factForm ADV
← ARTHUR D METZGERAdvisorregistration: previous registration
May 10, 2019 to Jun 5, 2019factForm ADV

Controls (6)

← ZUBERI, SOOFIAN J JOwnerDIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL, ownership code NA, individual
Dec 15, 2020 to Nov 4, 2024factForm ADV
← GADKARI, SARANG RAJANOwnerDIRECTOR, ownership code NA, individual
Feb 3, 2022 to Nov 4, 2024factForm ADV
← MCQUEEN, MATTHEW COwnerDIRECTOR, ownership code NA, individual
May 29, 2024 to Nov 4, 2024factForm ADV
← CHEPUCAVAGE, LAURA POwnerDIRECTOR, STATE DESIGNATED PRINCIPAL, ownership code NA, individual
Feb 3, 2022 to Nov 4, 2024factForm ADV
← BANK OF AMERICA CORPORATIONOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Feb 15, 2018 to Nov 4, 2024factForm ADV
← NB HOLDINGS CORPORATIONOwnerSOLE STOCKHOLDER, ownership code E, domestic entity
Feb 15, 2018 to Nov 4, 2024factForm ADV

Owns (5)

← ALAM, SYED FARUQEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 26, 2019 to Nov 4, 2024factForm ADV
← GUARDINO, JOSEPH ANTHONY JROwnerCHIEF OPERATIONS OFFICER & FINOP, ownership code NA, individual
Feb 15, 2018 to Nov 4, 2024factForm ADV
← BHATIA, KASHYAP POwnerCHIEF COMPLIANCE OFFICER / BROKER DEALER, ownership code NA, individual
Aug 31, 2022 to Nov 4, 2024factForm ADV
← RAE, GLEN ALEXANDEROwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Aug 27, 2019 to Nov 4, 2024factForm ADV
← BLISS, CLAIRE RENEEOwnerCHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER, ownership code NA, individual
Sep 6, 2022 to Nov 4, 2024factForm ADV

Moved with (2)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser7 advisors, firm absorbed
Jun 25, 2019 to Jul 3, 2019factForm ADV
← MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser7 advisors, team lift out, same day
May 10, 2019 to May 10, 2019factForm ADV

Dated events

Occurred
May 2, 2025
Advisor changed firm
Warren Brooks Williamson left Bofa Securities, Inc. for Cerity Partners Llc (registered 2025-10-29)
Form ADVobserved 3 days ago
Occurred
May 29, 2024
Control person joined
Matthew C Mcqueen (Director) appeared on Schedule A of Bofa Securities, Inc.
Form ADVobserved 3 days ago
Occurred
Feb 12, 2024
Control person left
Andrei Grischa Magasiner (Director) no longer on Schedule A of Bofa Securities, Inc. (listed 2024-01-16, absent 2024-02-12)
Form ADVobserved 3 days ago
Occurred
Feb 3, 2022
Control person left
Thomas Kell Montag (Director & Chief Executive Officer) no longer on Schedule A of Bofa Securities, Inc. (listed 2021-11-26, absent 2022-02-03)
Form ADVobserved 3 days ago
Occurred
Feb 3, 2022
Control person left
Andrea Bradley Smith (Outside Director) no longer on Schedule A of Bofa Securities, Inc. (listed 2021-11-26, absent 2022-02-03)
Form ADVobserved 3 days ago
Occurred
Feb 3, 2022
Control person left
James P Demare (Director) no longer on Schedule A of Bofa Securities, Inc. (listed 2021-11-26, absent 2022-02-03)
Form ADVobserved 3 days ago
Occurred
Feb 3, 2022
Control person joined
Laura P Chepucavage (Director) appeared on Schedule A of Bofa Securities, Inc.
Form ADVobserved 3 days ago
Occurred
Feb 3, 2022
Control person joined
Sarang Rajan Gadkari (Director) appeared on Schedule A of Bofa Securities, Inc.
Form ADVobserved 3 days ago
Occurred
Feb 3, 2022
Control person joined
Andrei Grischa Magasiner (Director) appeared on Schedule A of Bofa Securities, Inc.
Form ADVobserved 3 days ago
Occurred
Dec 15, 2020
Control person joined
Soofian J Jalil Zuberi (Director) appeared on Schedule A of Bofa Securities, Inc.
Form ADVobserved 3 days ago
Occurred
Dec 15, 2020
Control person joined
James P Demare (Director) appeared on Schedule A of Bofa Securities, Inc.
Form ADVobserved 3 days ago
Occurred
Dec 15, 2020
Control person left
Fabrizio Gallo (Director) no longer on Schedule A of Bofa Securities, Inc. (listed 2020-11-19, absent 2020-12-15)
Form ADVobserved 3 days ago
Occurred
Feb 15, 2018
First Form ADV filing
Bofaml Securities, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b19d2b5f-b233-1ff4-8923-359deca31d58
First observed: Feb 15, 2018
Last observed: Jul 29, 2026 52 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BOFA SECURITIES, INC.

CRD 283942

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b19d2b5f-b233-1ff4-8923-359deca31d58

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:25 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANK OF AMERICA CORPORATION

SOLE SHAREHOLDER

yes

10/1998

Feb 15, 2018

Nov 4, 2024

CHEPUCAVAGE, LAURA P

DIRECTOR, STATE DESIGNATED PRINCIPAL

yes

02/2022

Feb 3, 2022

Nov 4, 2024

GADKARI, SARANG RAJAN

Director

yes

02/2022

Feb 3, 2022

Nov 4, 2024

MCQUEEN, MATTHEW C

Director

yes

05/2024

May 29, 2024

Nov 4, 2024

NB HOLDINGS CORPORATION

SOLE STOCKHOLDER

yes

05/2019

Feb 15, 2018

Nov 4, 2024

ZUBERI, SOOFIAN J J

DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL

yes

02/2022

Dec 15, 2020

Nov 4, 2024

ALAM, SYED FARUQE

CHIEF FINANCIAL OFFICER

09/2019

Sep 26, 2019

Nov 4, 2024

BHATIA, KASHYAP P

CHIEF COMPLIANCE OFFICER / BROKER DEALER

08/2022

Aug 31, 2022

Nov 4, 2024

BLISS, CLAIRE RENEE

CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER

09/2022

Sep 6, 2022

Nov 4, 2024

GUARDINO, JOSEPH ANTHONY JR

CHIEF OPERATIONS OFFICER & FINOP

09/2015

Feb 15, 2018

Nov 4, 2024

RAE, GLEN ALEXANDER

CHIEF LEGAL OFFICER

08/2019

Aug 27, 2019

Nov 4, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, FRANKFURT

n/a

yes

n/a

BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, MILAN BRANCH

n/a

yes

n/a

BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, SUCURSAL EN ESPA?A

n/a

yes

n/a

BANK OF AMERICA, NATIONAL ASSOCIATION

n/a

yes

n/a

BOFA SECURITIES EUROPE SA

n/a

yes

n/a

BOFA SECURITIES INDIA LIMITED

n/a

yes

n/a

BOFA SECURITIES JAPAN CO., LTD.

n/a

yes

n/a

MERRILL LYNCH (ASIA PACIFIC) LIMITED

n/a

yes

n/a

MERRILL LYNCH ARGENTINA S.A.

n/a

yes

n/a

MERRILL LYNCH CANADA INC.

n/a

yes

n/a

MERRILL LYNCH EQUITIES (AUSTRALIA) LIMITED

n/a

yes

n/a

MERRILL LYNCH INTERNATIONAL

n/a

yes

n/a

MERRILL LYNCH INTERNATIONAL (DIFC BRANCH)

n/a

yes

n/a

MERRILL LYNCH INTERNATIONAL, LLC-SEOUL BRANCH

n/a

yes

n/a

MERRILL LYNCH ISRAEL LIMITED

n/a

yes

n/a

MERRILL LYNCH MARKETS SINGAPORE PTE.LTD.

n/a

yes

n/a

MERRILL LYNCH MEXICO, S.A. DE C.V., CASA DE BOLSA

n/a

yes

n/a

MERRILL LYNCH S.A. CORRETORA DE TITULOS E VALORES MOBILARIOS

n/a

yes

n/a

MERRILL LYNCH SECURITIES (TAIWAN) LTD.

n/a

yes

n/a

MERRILL LYNCH SOUTH AFRICA PROPRIETARY LIMITED

n/a

yes

n/a

MERRILL LYNCH, KINGDOM OF SAUDI ARABIA COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

Houston

United States

Stamford

United States

yes

Washington

United States

Atlanta

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 2, 2026

317

n/a

2024

Feb 20, 2025

314

n/a

2023

Mar 22, 2024

n/a

314

n/a

2022

Mar 20, 2023

n/a

348

n/a

2021

Mar 21, 2022

n/a

242

n/a

2020

Mar 22, 2021

n/a

313

n/a

2019

Mar 23, 2020

n/a

300

n/a

2018

Mar 25, 2019

n/a

293

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a

317

314

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jun 25, 2019

Jun 24, 2019

NEWPORT BEACH, CA

Firm absorbed

Other

66.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

May 10, 2019

NEW YORK, NY

Channel change

Other

0.0%