Richard W. Sachse
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard William Sachse was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 10 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 57TO, SIE, Series 3, Series 7, Series 6, Series 14, Series 24, Series 10, Series 9, Series 53, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2019 - July 21, 2021
BOFA SECURITIES, INC.
November 1, 2010 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
January 30, 2009 - February 10, 2009
VDM INSTITUTIONAL BROKERAGE, LLC
June 27, 2008 - November 13, 2008
VDM TRADING, LLC
June 26, 2008 - February 10, 2009
VDM CAPITAL MARKETS, LLC
April 1, 2005 - May 11, 2007
COMMERZ MARKETS LLC
March 15, 2004 - January 3, 2005
COMMERZBANK CAPITAL MARKETS CORP.
January 26, 2004 - March 9, 2004
EKN FINANCIAL SERVICES INC.
April 16, 1992 - October 31, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1983 - June 25, 1984
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/12/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/12/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 3/12/2024
Municipal Securities Representative ExaminationSeries 57TO
Date: 3/12/2024
Securities Trader ExamSeries 12
Date: 4/21/1995
NYSE Branch Manager ExaminationCurrent Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 69 |
Red Flags
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