Thomas D. Stoddard

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CRD#: 2496391

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.

Thomas Dawson Stoddard, who also goes by Tom Stoddard, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Stoddard

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 22, 2021 - April 21, 2025

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

Past

July 23, 2008 - April 15, 2014

BLACKSTONE SECURITIES PARTNERS L.P.

CRD#: 17917

NEW YORK, NY

Past

January 17, 2003 - September 9, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 31, 1998 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 26, 1995 - April 1, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 19, 1994 - July 13, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/1/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 9/22/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 9/8/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2021

General Securities Principal Examination

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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Firm Stability Insights

Thomas D. Stoddard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKSTONE SECURITIES PARTNERS L.P.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

UBS SECURITIES LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

BOFA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/1/2021

Series 79TO

Date: 9/22/2021

SIE

Date: 9/8/2021

Series 7

Date: 7/22/2008

Series 24

Date: 10/22/2021

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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