BofA Securities, Inc.

Company Details

Name:	BofA Securities, Inc.
Jurisdiction:	Rhode Island
Entity type:	Foreign Corporation
Status:	Activ
Date of Organization in Rhode Island:	23 Mar 2016 (9 years ago)
Identification Number:	001661608
Place of Formation:	DELAWARE
Principal Address:	ONE BRYANT PARK, NEW YORK, NY, 10036, USA
Purpose:	INVESTMENT BANKING AND SECURITIES INTERMEDIATION
Historical names:	BofAML Securities, Inc.

Agent

Name	Role	Address
CT CORPORATION SYSTEM	Agent	450 VETERANS MEMORIAL PARKWAY SUITE 7A, EAST PROVIDENCE, RI, 02914, USA

SECRETARY

Name	Role	Address
COLLEEN O. JOHNSON	SECRETARY	ONE BRYANT PARK NEW YORK, NY 10036 USA

DIRECTOR, CHIEF EXECUTIVE OFFICER

Name	Role	Address
SOOFIAN J. ZUBERI	DIRECTOR, CHIEF EXECUTIVE OFFICER	ONE BRYANT PARK NEW YORK, NY 10036 USA

SENIOR VICE PRESIDENT

Name	Role	Address
NATHAN A. BARTH	SENIOR VICE PRESIDENT	ONE BRYANT PARK NEW YORK, NY 10036 USA

CO-CHIEF COMPLIANCE OFFICER/FUTURES COMMISSION MERCHANT

Name	Role	Address
KASHYAP BHATIA	CO-CHIEF COMPLIANCE OFFICER/FUTURES COMMISSION MERCHANT	ONE BRYANT PARK NEW YORK, NY 10036 USA

CHIEF COMPLIANCE OFFICER/BROKER-DEALER

Name	Role	Address
KASHYAP BHATIA	CHIEF COMPLIANCE OFFICER/BROKER-DEALER	ONE BRYANT PARK NEW YORK, NY 10036 USA

MANAGING DIRECTOR

Name	Role	Address
EDWARD RORY O'KANE	MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA
STEPHEN YANKAUER	MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA
WALTER R. LOUIS	MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA
DENIS MANELSKI	MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA
EDWARD MCLAREN	MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA
ROBERT MUNSEY	MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA

SENIOR VICE PRESIDENT, TAX

Name	Role	Address
FRANK RACANIELLO	SENIOR VICE PRESIDENT, TAX	ONE BRYANT PARK NEW YORK, NY 10036 USA

CHIEF LEGAL OFFICER

Name	Role	Address
GLEN A RAE	CHIEF LEGAL OFFICER	ONE BRYANT PARK NEW YORK, NY 10036 USA

ANTI-MONEY LAUNDERING COMPLIANCE OFFICER

Name	Role	Address
LUIGI RICCIARDI	ANTI-MONEY LAUNDERING COMPLIANCE OFFICER	ONE BRYANT PARK NEW YORK, NY 10036 USA

ASSISTANT SECRETARY

Name	Role	Address
ANDREW S. MARGOLIN	ASSISTANT SECRETARY	ONE BRYANT PARK NEW YORK, NY 10036 USA
CHRISTINE M. COSTAMAGNA	ASSISTANT SECRETARY	ONE BRYANT PARK NEW YORK, NY 10036 USA
ELIZABETH A. PRYOR	ASSISTANT SECRETARY	ONE BRYANT PARK NEW YORK, NY 10036 USA

CHIEF COMPLIANCE OFFICER/FUTURES COMMISSION MERCHANT

Name	Role	Address
EDWARD MCLAREN	CHIEF COMPLIANCE OFFICER/FUTURES COMMISSION MERCHANT	ONE BRYANT PARK NEW YORK, NY 10036 USA

CHAIRMAN OF THE BOARD

Name	Role	Address
SOOFIAN J. ZUBERI	CHAIRMAN OF THE BOARD	ONE BRYANT PARK NEW YORK, NY 10036 USA

CHIEF FINANCIAL OFFICER/ MANAGING DIRECTOR

Name	Role	Address
FARUQE ALAM	CHIEF FINANCIAL OFFICER/ MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA

CHIEF COMPLIANCE OFFICER/REGISTERED INVESTMENT ADVISOR

Name	Role	Address
CLAIRE BLISS	CHIEF COMPLIANCE OFFICER/REGISTERED INVESTMENT ADVISOR	ONE BRYANT PARK NEW YORK, NY 10036 USA

CHIEF OPERATIONS OFFICER, MANAGING DIRECTOR

Name	Role	Address
JOSEPH A. GUARDINO	CHIEF OPERATIONS OFFICER, MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA

TREASURER / MANAGING DIRECTOR

Name	Role	Address
MANAMI ISHII	TREASURER / MANAGING DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA

DIRECTOR

Name	Role	Address
SARANG R. GADKARI	DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA
LAURA CHEPUCAVAGE	DIRECTOR	ONE BRYANT PARK NEW YORK, NY 10036 USA

Events

Type	Date	Old Value	New Value
Name Change	2019-03-07	BofAML Securities, Inc.	BofA Securities, Inc.

Filings

Number	Name	File Date
202452077180	Annual Report	2024-04-23
202334102490	Annual Report	2023-04-26
202215914080	Annual Report	2022-04-27
202191421020	Annual Report	2021-02-16
202035299930	Annual Report	2020-02-27
201988293510	Application for Amended Certificate of Authority	2019-03-07
201987419290	Annual Report	2019-02-25
201856131670	Annual Report	2018-01-15
201733924470	Annual Report	2017-02-13
201694944470	Application for Certificate of Authority	2016-03-23

Date of last update: 26 Oct 2024

Sources: Rhode Island Department of State