GG
Grace Gaoaen
MERRILL LYNCH, PIERCE, FENNER & SMITH
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 1284183
GG
Professional summary
Grace Gaoaen, who also goes by Grace C Gaoaen, Grace Castillo Gaoaen Ms, Grace Castillo Gaoaen, Grace Castillo Keeler, Grace Castillo Telesmanic, is a registered financial professional currently at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in San Francisco, California and BOFA SECURITIES, INC. located in San Francisco, California.
Grace is registered as a RR (Registered Representative) and started their career in finance in 1984. Grace has worked at 8 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Grace C Gaoaen | Grace Castillo Gaoaen Ms | Grace Castillo Gaoaen | Grace Castillo Keeler | Grace Castillo Telesmanic
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.
CRS (Client Relationship Summary) - BD
Click below to view Grace Gaoaen's 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®
NoneExperience
Current
October 21, 2009 - Present
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Office #1: 555 California St Gbam - Global Ficc - Mbam - Public Municipal Mkts, San Francisco, CA 94104RIA
BD
CRD#: 7691
San Francisco, CA
Current
November 13, 2018 - Present
BOFA SECURITIES, INC.
Office #1: 555 California St Gbam - Global Ficc - Mbam - Public Municipal Mkts, San Francisco, CA 94104RIA
BD
CRD#: 283942
San Francisco, CA
Past
October 28, 2005 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
SAN FRANCISCO, CA
Past
August 31, 2004 - October 14, 2005
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
January 7, 2003 - May 17, 2004
WOLFE & HURST BOND BROKERS INC.
BD
CRD#: 8288
JERSEY CITY, NJ
Past
July 8, 1997 - August 22, 2002
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ORINDA, CA
Past
August 5, 1989 - August 22, 2002
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
February 26, 1988 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
August 21, 1984 - January 18, 1988
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
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".
BS
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)BD
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.
RR
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
RR
Alabama(2/22/2011)
RR
Alaska(2/22/2011)
RR
Arizona(2/22/2011)
RR
Arkansas(2/22/2011)
RR
California(10/21/2009)
RR
Colorado(2/22/2011)
RR
Connecticut(2/22/2011)
RR
Delaware(2/22/2011)
RR
District of Columbia(2/22/2011)
RR
Florida(2/22/2011)
RR
Georgia(2/22/2011)
RR
Hawaii(2/22/2011)
RR
Idaho(2/22/2011)
RR
Illinois(2/22/2011)
RR
Indiana(2/22/2011)
RR
Iowa(2/22/2011)
RR
Kansas(2/22/2011)
RR
Kentucky(2/22/2011)
RR
Louisiana(2/22/2011)
RR
Maine(2/22/2011)
RR
Maryland(2/22/2011)
RR
Massachusetts(2/22/2011)
RR
Michigan(2/22/2011)
RR
Minnesota(2/22/2011)
RR
Mississippi(2/22/2011)
RR
Missouri(2/22/2011)
RR
Montana(2/22/2011)
RR
Nebraska(2/22/2011)
RR
Nevada(5/12/2019)
RR
New Hampshire(2/22/2011)
RR
New Jersey(2/22/2011)
RR
New Mexico(2/22/2011)
RR
New York(2/22/2011)
RR
North Carolina(5/12/2019)
RR
North Dakota(2/22/2011)
RR
Ohio(2/23/2011)
RR
Oklahoma(2/22/2011)
RR
Oregon(2/22/2011)
RR
Pennsylvania(2/22/2011)
RR
Puerto Rico(3/2/2012)
RR
Rhode Island(2/22/2011)
RR
South Carolina(2/22/2011)
RR
South Dakota(2/22/2011)
RR
Tennessee(2/22/2011)
RR
Texas(2/22/2011)
RR
Utah(2/22/2011)
RR
Vermont(2/22/2011)
RR
Virgin Islands(3/2/2012)
RR
Virginia(2/22/2011)
RR
Washington(2/22/2011)
RR
West Virginia(2/22/2011)
RR
Wisconsin(2/22/2011)
RR
Wyoming(2/22/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/8/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BS
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)BD
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)
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
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.
