JM
John D. Moriarty
BOFA SECURITIES
New York, NY 10036
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CRD#: 2522133
JM
Professional summary
John David Moriarty, who also goes by John David Moriarity, J.d. Moriarty, Jd Moriarty, is a registered financial professional currently at BOFA SECURITIES, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John David Moriarity | J.d. Moriarty | Jd Moriarty
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 John David Moriarty'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
May 30, 2025 - Present
BOFA SECURITIES, INC.
Office #1: One Bryant Park Gbam - Global Corporate Investment Banking, New York, NY 10036RIA
BD
CRD#: 283942
New York, NY
Past
November 21, 2024 - May 16, 2025
ICR CAPITAL LLC
BD
CRD#: 174952
NEW YORK, NY
Past
October 19, 2001 - May 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 19, 2000 - August 28, 2000
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
August 25, 1994 - April 9, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(6/2/2025)
RR
Alaska(6/2/2025)
RR
Arizona(6/2/2025)
RR
Arkansas(6/2/2025)
RR
California(6/2/2025)
RR
Colorado(6/2/2025)
RR
Connecticut(6/2/2025)
RR
Delaware(6/2/2025)
RR
District of Columbia(6/2/2025)
RR
Florida(6/2/2025)
RR
Georgia(6/2/2025)
RR
Hawaii(6/2/2025)
RR
Idaho(6/2/2025)
RR
Illinois(6/2/2025)
RR
Indiana(6/2/2025)
RR
Iowa(6/2/2025)
RR
Kansas(6/2/2025)
RR
Kentucky(6/2/2025)
RR
Louisiana(6/2/2025)
RR
Maine(6/2/2025)
RR
Maryland(6/2/2025)
RR
Massachusetts(6/2/2025)
RR
Michigan(6/2/2025)
RR
Minnesota(6/2/2025)
RR
Mississippi(6/2/2025)
RR
Missouri(6/2/2025)
RR
Montana(6/2/2025)
RR
Nevada(6/2/2025)
RR
New Hampshire(6/2/2025)
RR
New Jersey(6/2/2025)
RR
New Mexico(6/2/2025)
RR
New York(5/30/2025)
RR
North Carolina(6/2/2025)
RR
North Dakota(6/2/2025)
RR
Ohio(6/3/2025)
RR
Oklahoma(6/2/2025)
RR
Oregon(6/2/2025)
RR
Pennsylvania(6/2/2025)
RR
Puerto Rico(6/2/2025)
RR
Rhode Island(6/2/2025)
RR
South Carolina(6/2/2025)
RR
South Dakota(6/2/2025)
RR
Tennessee(6/2/2025)
RR
Texas(6/2/2025)
RR
Utah(6/2/2025)
RR
Vermont(6/2/2025)
RR
Virgin Islands(6/2/2025)
RR
Virginia(6/2/2025)
RR
Washington(6/2/2025)
RR
West Virginia(6/2/2025)
RR
Wisconsin(6/2/2025)
RR
Wyoming(6/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 10/8/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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 | 71 |
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.
