David J. Chu
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.
David J Chu, who also goes by David Jitaek Chu, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 86, Series 87, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2019 - April 1, 2022
BOFA SECURITIES, INC.
August 26, 2008 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 2008 - July 25, 2008
TRUIST SECURITIES, INC.
June 4, 2007 - February 25, 2008
BANC OF AMERICA SECURITIES LLC
June 6, 2006 - August 18, 2006
BMO CAPITAL MARKETS CORP.
January 19, 2005 - June 9, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
November 27, 2002 - January 29, 2003
HEARTLAND SECURITIES CORP.
November 24, 1999 - August 2, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
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.
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