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BOFA SECURITIES, INC.

NEW YORK, NY · CRD 283942 · IAPD ↗ · bankofamerica.com · 646-743-2734

$0Regulatory AUM
317Advisory reps
317Employees
0Clients
0Planning clients
0Private funds
2States
148Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
August 2026 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (147 -> 148).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
August 2026 — BOFA SECURITIES, INC. added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
40
July 2026 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 3 (144 -> 147).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
May 2026 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (143 -> 144).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
March 2026 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (142 -> 143).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
February 2026 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (141 -> 142).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
December 2025 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 7 (134 -> 141).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
July 2025 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (133 -> 134).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
June 2025 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 4 (129 -> 133).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
60
April 2025 — BOFA SECURITIES, INC. grew from 314 to 319 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
March 2025 — BOFA SECURITIES, INC. added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
40
February 2025 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 1 (128 -> 129).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
November 2024 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 4 (124 -> 128).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
October 2024 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 8 (116 -> 124).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
August 2024 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 4 (112 -> 116).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
July 2024 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 7 (105 -> 112).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
June 2024 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 10 (95 -> 105).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
June 2024 — BOFA SECURITIES, INC. added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
40
April 2024 — BOFA SECURITIES, INC. shrank from 348 to 314 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
March 2024 — BOFA SECURITIES, INC.'s Item 11 disclosure-reporting entries rose by 2 (93 -> 95).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.