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Broker-dealer firm · New York, NY

Bofa Securities, Inc.

SEC-registered investment adviser · CRD 283942 · SEC 801-112640

At a glance

Bofa Securities, Inc. is an SEC-registered investment adviser based in New York, New York, with $0 in regulatory assets under management as of its Form ADV filed July 29, 2026. By Form ADV it is a broker-dealer firm, ranked 382nd of 391 broker-dealer firms and 16,658th of 17,210 SEC-registered advisers by assets.

Main office 646-743-2734bofaml.comAs filed on Form ADV

Regulatory AUM
$0M
Rank among broker-dealer firms
#382 of 391
Rank among all SEC RIAs
#16,658 of 17,210
Rank in New York
#2,513 of 2,591
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
317
Advisory staff
317
Offices
7

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Bofa Securities, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Bofa Securities, Inc. is a hybrid RIA: 317 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Bank of America Europe Designated Activity Company, Frankfurt, Bank of America Europe Designated Activity Company, Milan Branch, Bank of America Europe Designated Activity Company, Sucursal EN Espa?a Branch, Bank of America, National Association, Bofa Securities Europe SA, Bofa Securities India Limited, Bofa Securities Japan Co., LTD., Merrill Lynch (asia Pacific) Limited, Merrill Lynch (singapore) PTE. LTD., Merrill Lynch Argentina S.A., Merrill Lynch Canada Inc., Merrill Lynch Equities (australia) Limited, Merrill Lynch International, Merrill Lynch International - Dubai Branch, Merrill Lynch International, Llc-Seoul Branch, Merrill Lynch Israel LTD., Merrill Lynch Mexico, S.A. De C.v., Casa De Bolsa, Merrill Lynch S.A. Corretora De Titulos E Valores Mobilarios, Merrill Lynch Securities (taiwan) LTD., Merrill Lynch South Africa Proprietary Limited and Merrill Lynch, Kingdom of Saudi Arabia Company.

  • Bank of America Europe Designated Activity Company, Frankfurt
  • Bank of America Europe Designated Activity Company, Milan Branch
  • Bank of America Europe Designated Activity Company, Sucursal EN Espa?a Branch
  • Bank of America, National Association
  • Bofa Securities Europe SA
  • Bofa Securities India Limited
  • Bofa Securities Japan Co., LTD.
  • Merrill Lynch (asia Pacific) Limited
  • Merrill Lynch (singapore) PTE. LTD.
  • Merrill Lynch Argentina S.A.
  • Merrill Lynch Canada Inc.
  • Merrill Lynch Equities (australia) Limited
  • Merrill Lynch International
  • Merrill Lynch International - Dubai Branch
  • Merrill Lynch International, Llc-Seoul Branch
  • Merrill Lynch Israel LTD.
  • Merrill Lynch Mexico, S.A. De C.v., Casa De Bolsa
  • Merrill Lynch S.A. Corretora De Titulos E Valores Mobilarios
  • Merrill Lynch Securities (taiwan) LTD.
  • Merrill Lynch South Africa Proprietary Limited
  • Merrill Lynch, Kingdom of Saudi Arabia Company

Other hybrid RIAs

Disciplinary disclosures

Bofa Securities, Inc. answers yes to 148 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Periodicals or newsletters
  • Other services

How it’s paid

  • Other

Form ADV and brochures on the SEC’s adviser search ↗bofaml.com ↗

AtlasMembers

The full record on Bofa Securities, Inc.

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 8 years of filings
Locked
Growth over one, three and five years
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Rank against 28 peers of its type and size
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Owners and executives, with titles and stakes
9 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Bofa Securities, Inc. manage?

Bofa Securities, Inc. reports $0 in regulatory assets under management, on its Form ADV filed July 29, 2026.

What kind of firm is Bofa Securities, Inc.?

Bofa Securities, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.

Does Bofa Securities, Inc. have any disciplinary history?

Bofa Securities, Inc. answers yes to 148 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Bofa Securities, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-29), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →