SM
Firm Information
Compensation
N/A
Number of Advisors
6 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Financial Planning:Investment management only
Fees for Research Services are separately negotiated with each institutional client and payable quarterly as invoiced. Additional services may require additional fees. BofAS may receive compensation from other products or services clients use.
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Advisor Information
Office location
One Bryant Park, New York, NY, 10036
Get directionsRegulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2001Denied
Employment History
Current Registrations
Bofa Securities, INC.
July 2025 - Present · 6 mos
Bofa Securities, INC. Broker
July 2025 - Present · 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - Present · 16 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - Present · 16 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
October 2009 - Present · 16 yrs 3 mos
Previous Registrations
Banc of America Investment Services, INC.
March 1999 - October 2009 · 10 yrs 7 mos
Banc of America Investment Services, INC.Broker
March 1999 - October 2009 · 10 yrs 7 mos
Ba Investment Services, INC.Broker
July 1998 - July 1999 · 1 yr
Fidelity Brokerage Services, INC.Broker
July 1998 - August 1998 · 1 mo
Ba Investment Services, INC.Broker
July 1996 - June 1998 · 1 yr 11 mos
American Express Financial Advisors INC. Broker
October 1995 - March 1996 · 5 mos
Ids Life Insurance CompanyBroker
October 1995 - March 1996 · 5 mos
State Registrations14 states
ALARAZCAFLIAKSMAMDNCNJNMNYTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.