David A. Stephens

BOFA SECURITIES

New York, NY 10036

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CRD#: 1736828

Professional summary

David Alan Stephens is a registered financial professional currently at BOFA SECURITIES, INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 5 firms and has passed the Series 63, SIE, Series 52, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 David Alan Stephens'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 Ficc - Mbam - Private Public Finance, New York, NY 10036

RIA

CRD#: 283942

New York, NY

Past

December 2, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

February 8, 2006 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 13, 2002 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 11, 2000 - September 10, 2001

EBONDTRADE

CRD#: 47396

WALNUT CREEK, CA

Past

May 4, 1988 - January 30, 1995

GOLDMAN SACHS & CO. LLC

CRD#: 361

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

Alabama
(5/10/2019)

Alaska
(5/10/2019)

Arizona
(5/10/2019)

Arkansas
(5/10/2019)

California
(5/10/2019)

Colorado
(5/10/2019)

Connecticut
(5/10/2019)

Delaware
(5/10/2019)

District of Columbia
(5/10/2019)

Florida
(5/10/2019)

Georgia
(5/10/2019)

Hawaii
(5/10/2019)

Idaho
(5/10/2019)

Illinois
(5/10/2019)

Indiana
(5/10/2019)

Iowa
(5/10/2019)

Kansas
(5/10/2019)

Kentucky
(5/10/2019)

Louisiana
(5/10/2019)

Maine
(5/10/2019)

Maryland
(5/10/2019)

Massachusetts
(5/10/2019)

Michigan
(5/10/2019)

Minnesota
(5/10/2019)

Mississippi
(5/10/2019)

Missouri
(5/10/2019)

Montana
(5/10/2019)

Nebraska
(5/10/2019)

Nevada
(5/10/2019)

New Hampshire
(5/10/2019)

New Jersey
(5/10/2019)

New Mexico
(5/10/2019)

New York
(5/10/2019)

North Carolina
(5/10/2019)

North Dakota
(5/10/2019)

Ohio
(5/10/2019)

Oklahoma
(5/10/2019)

Oregon
(5/10/2019)

Pennsylvania
(5/10/2019)

Puerto Rico
(5/10/2019)

Rhode Island
(5/10/2019)

South Carolina
(5/10/2019)

South Dakota
(5/10/2019)

Tennessee
(5/10/2019)

Texas
(5/10/2019)

Utah
(5/10/2019)

Vermont
(5/10/2019)

Virgin Islands
(11/6/2025)

Virginia
(5/10/2019)

Washington
(5/10/2019)

West Virginia
(5/10/2019)

Wisconsin
(5/10/2019)

Wyoming
(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: 2/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 10/10/2000

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/9/2004

Municipal Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE National, Inc.

SRO Registrations

New York Stock Exchange

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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David A. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Alan Stephens's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANC OF AMERICA SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EBONDTRADE

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

BOFA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/16/2001

SIE

Date: 10/1/2018

Series 52

Date: 10/10/2000

Series 7

Date: 9/19/1987

Series 53

Date: 7/9/2004

FINRA

NYSE American LLC

NYSE National, Inc.

New York Stock Exchange

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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