Jeffrey M. Peek

BOFA SECURITIES

New York, NY 10036

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CRD#: 1100384

Professional summary

Jeffrey Merl Peek, who also goes by Jeffrey M Peek, is a registered financial professional currently at BOFA SECURITIES, INC. located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1983. Jeffrey has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey M Peek

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Merl Peek's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 10, 2019 - Present

BOFA SECURITIES, INC.

Office #1: One Bryant Park Gbam - Global Corporate Investment Banking, New York, NY 10036

RIA

CRD#: 283942

New York, NY

Past

September 18, 2015 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 14, 2011 - April 9, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

October 28, 2003 - May 7, 2004

FIRST CITIZENS CAPITAL SECURITIES, LLC

CRD#: 41504

NEW YORK, NY

Past

May 29, 2002 - May 12, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

January 9, 2002 - September 3, 2003

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

February 2, 1998 - January 17, 2002

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

January 14, 1993 - April 22, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 1, 1983 - May 29, 1985

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

March 22, 1983 - July 8, 1983

A.G. BECKER PARIBAS INCORPORATED

CRD#: 6742

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BOFA SECURITIES, INC.

BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.

CRD#: 283942 / SEC#: 801-112640, 8-69787

RIA

Registered Investment Advisory firm - SEC (3/29/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/10/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/27/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/13/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BOFA SECURITIES, INC.

BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.

CRD#: 283942 / SEC#: 801-112640, 8-69787

RIA

Registered Investment Advisory firm - SEC (3/29/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Bryant Park, New York, NY 10036

Mailing Address

150 N College St Nc1-028-29-04, Charlotte, NC 28255

Phone number

(646) 743-2734

Established

Delaware since 09/01/2015

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

317

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BOFA SECURITIES, INC. RESEARCH SERVICES (3/24/2025)

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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Jeffrey M. Peek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Merl Peek's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

FIRST CITIZENS CAPITAL SECURITIES, LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

FAM DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BECKER PARIBAS INCORPORATED

A.G. BECKER PARIBAS INCORPORATED

Primary Firm SEC Registration

BOFA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2011

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 24

Date: 5/13/2016

FINRA

Current Firm

BOFA SECURITIES, INC.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BOFA SECURITIES, INC.

TRUST BUT VERIFY

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