Becky Anne Beers

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

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.

Similar Advisors

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

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.

Similar Advisors

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

Years of Experience

21 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

October 3, 2019 - Present

Past

KEYBANC CAPITAL MARKETS INC.Past·CRD# 566

BD

Burlington, VT

March 16, 2005 - February 15, 2007

Similar Advisors

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

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

Similar Advisors

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

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.

Similar Advisors

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

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
(10/31/2019)

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.

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

MX2 LLC

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

Nasdaq Texas, LLC

SRO Registrations

New York Stock Exchange

SRO Registrations

Texas Stock Exchange LLC

SRO Registrations

Similar Advisors

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Becky Anne Beers's CRS (Customer Relationship Summary).

Similar Advisors

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#

MORGAN STANLEY

Seattle, WA · CRD#

THE ENSEMBLE TEAM

SEATTLE, WA · CRD#

LPL FINANCIAL LLC

BELLEVUE, WA · CRD#