{
  "crd_number": 283942,
  "slug": "bofa-securities-inc-new-york-ny-283942",
  "primary_business_name": "BOFA SECURITIES, INC.",
  "legal_name": "BOFA SECURITIES, INC.",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-03-29",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-07-29",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 317,
  "advisory_employees": 317,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [
    "other"
  ],
  "advisory_activities": [
    "other",
    "periodicals_newsletters"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 16,
  "states_registered": [
    "CA",
    "DC"
  ],
  "websites": [
    "https://bankofamerica.com",
    "https://bofaml.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/283942",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    },
    {
      "item": "11.H(1)(a)",
      "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/bofa-securities-inc-new-york-ny-283942",
  "display_name": "BofA Securities, Inc.",
  "summary": "BofA Securities, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2018, with no regulatory assets under management reported in its Form ADV filing dated July 29, 2026.",
  "citation": "AdvisorCensus. BofA Securities, Inc. (CRD 283942): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "Other"
  ],
  "advisory_activity_labels": [
    "Publication of periodicals or newsletters",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is BofA Securities, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), BofA Securities, Inc. reports these compensation arrangements: other."
    },
    {
      "q": "Where is BofA Securities, Inc. located?",
      "a": "BofA Securities, Inc.'s principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 6 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is BofA Securities, Inc. registered with the SEC or a state?",
      "a": "BofA Securities, Inc. is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 283942."
    },
    {
      "q": "How have BofA Securities, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for BofA Securities, Inc.: Total employees: 313 in October 2021 and 317 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "Does BofA Securities, Inc. report any disciplinary disclosures?",
      "a": "Reports 16 disclosure items on Form ADV Item 11: yes answers to 12 questions about regulatory matters and 4 questions about civil court matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(1), 11.E(2), 11.E(4), 11.G, 11.H(1)(a), 11.H(1)(b), 11.H(1)(c), 11.H(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/283942"
    },
    {
      "q": "What changed in BofA Securities, Inc.'s recent Form ADV filings?",
      "a": "In the August 2026 filing data: Added an office in Delray Beach, FL."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 313,
      "filing_date": "2021-08-20"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 242,
      "filing_date": "2022-09-22"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 348,
      "filing_date": "2023-09-13"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 314,
      "filing_date": "2024-09-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 317,
      "filing_date": "2025-07-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 317,
      "filing_date": "2026-07-29"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Added an office in Delray Beach, FL."
      ]
    },
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/bofa-securities-inc-new-york-ny-283942.md",
  "clients": [],
  "disclosure_line": "Reports 16 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/283942",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}