Bofa Securities, Inc.
Registered investment adviser · New York, NY · CRD #283942
Form ADV data as of 2026-09-01Regulatory assets
$0
Total accounts
0
Employees
317
Disclosure events
148
Firm details
- Website: http://www.bankofamerica.com
- Telephone: 646-743-2734
- SEC file number: 801-112640
- Most recent Form ADV filing: 2026-07-29
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 16 disclosure questions answered Yes, covering 148 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a false statement or omission
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- Another regulator denied, suspended, or revoked a registration or restricted activity
- A self-regulatory organization found a false statement or omission
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
- A court enjoined the firm in connection with investment-related activity (past 10 years)
- A court found involvement in a violation of investment-related statutes or regulations
- A court dismissed an investment-related civil action under a settlement agreement
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Assets and accounts
| Provides continuous and regular supervisory or management services | No |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $0 |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 0 |
| Total accounts | 0 |
People
| Total employees (excluding clerical) | 317 |
| Employees performing investment advisory functions (including research) | 317 |
| Employees who are registered representatives of a broker-dealer | 317 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Executes agency cross transactions involving advisory client securities
- Recommends securities for which it serves as underwriter or general partner