TD
Thai-an T. Du
BOFA SECURITIES
STAMFORD, CT 06901
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CRD#: 3122390
TD
Professional summary
Thai-an Thuy Du, who also goes by Thaian T Du, Thaian Thuy Du, Thai-an Du, is a registered financial professional currently at BOFA SECURITIES, INC. located in Stamford, Connecticut.
Thai-an is registered as a RR (Registered Representative) and started their career in finance in 1998. Thai-an has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thaian T Du | Thaian Thuy Du | Thai-An Du
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 Thai-an Thuy Du'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 27, 2019 - Present
BOFA SECURITIES, INC.
Office #1: 600 Washington Blvd Gm- Global Equities, Stamford, CT 06901RIA
BD
CRD#: 283942
STAMFORD, CT
Past
June 13, 2019 - May 1, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 11, 2000 - March 20, 2012
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
December 4, 1998 - July 18, 2000
LEHMAN BROTHERS INC.
BD
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".
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(6/10/2019)
RR
Alaska(6/10/2019)
RR
Arizona(6/10/2019)
RR
Arkansas(6/10/2019)
RR
California(6/10/2019)
RR
Colorado(6/10/2019)
RR
Connecticut(6/10/2019)
RR
Delaware(6/10/2019)
RR
District of Columbia(6/10/2019)
RR
Florida(6/10/2019)
RR
Georgia(6/10/2019)
RR
Hawaii(6/10/2019)
RR
Idaho(6/10/2019)
RR
Illinois(6/10/2019)
RR
Indiana(6/10/2019)
RR
Iowa(6/10/2019)
RR
Kansas(6/10/2019)
RR
Kentucky(6/10/2019)
RR
Louisiana(6/10/2019)
RR
Maine(6/10/2019)
RR
Maryland(6/10/2019)
RR
Massachusetts(6/10/2019)
RR
Michigan(6/10/2019)
RR
Minnesota(6/10/2019)
RR
Mississippi(6/10/2019)
RR
Missouri(6/10/2019)
RR
Montana(6/10/2019)
RR
Nebraska(6/10/2019)
RR
Nevada(6/10/2019)
RR
New Hampshire(6/10/2019)
RR
New Jersey(6/10/2019)
RR
New Mexico(6/10/2019)
RR
New York(6/10/2019)
RR
North Carolina(6/10/2019)
RR
North Dakota(6/10/2019)
RR
Ohio(6/10/2019)
RR
Oklahoma(6/10/2019)
RR
Oregon(6/10/2019)
RR
Pennsylvania(6/10/2019)
RR
Puerto Rico(6/10/2019)
RR
Rhode Island(6/10/2019)
RR
South Carolina(6/10/2019)
RR
South Dakota(6/10/2019)
RR
Tennessee(6/10/2019)
RR
Texas(6/10/2019)
RR
Utah(6/10/2019)
RR
Vermont(6/10/2019)
RR
Virgin Islands(6/10/2019)
RR
Virginia(6/10/2019)
RR
Washington(6/10/2019)
RR
West Virginia(6/10/2019)
RR
Wisconsin(6/10/2019)
RR
Wyoming(6/10/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/27/2019
General 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.
