Tom Thoen

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

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LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

36 years registered in the securities industry

Current & Past Employments

Current

BOFA SECURITIES, INC.Current·CRD# 283942

RIA

BD

401 Union St Gbam - Global Commercial Banking, Seattle, WA 98101

July 12, 2019 - Present

Past

DAIN RAUSCHER INCORPORATEDPast·CRD# 7600

BD

November 7, 1990 - November 30, 1992

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

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)

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)

Registered to provide investment advisory services in 2 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 2 US states and territories.

Documents

Part 2 Brochures

BOFA SECURITIES, INC. RESEARCH SERVICES (3/20/2026)

Direct owners and executive officers

Name	Position	CRD#
NB HOLDINGS CORPORATION	SOLE STOCKHOLDER	—
BHATIA, KASHYAP P	CHIEF COMPLIANCE OFFICER / BROKER DEALER	6110368
BOURNE, STUART MARK	DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL	6611063
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

Disclosures

Regulatory Event

76

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Washington
(8/6/2019)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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NYSE National, Inc.

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Tom Thoen's CRS (Customer Relationship Summary).

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