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LT

Laura E. Temel

BOFA SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 5520973
LT

Professional summary

Laura Elizabeth Temel, who also goes by Laura E Temel, Laura Elizabeth Temel, Laura Temel, is a registered financial professional currently at BOFA SECURITIES, INC. located in New York, New York.

Laura is registered as a RR (Registered Representative) and started their career in finance in 2009. Laura has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura E Temel | Laura Elizabeth Temel | Laura Temel

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) - BD

Click below to view Laura Elizabeth Temel's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 13, 2020 - Present

BOFA SECURITIES, INC.

Office #1: One Bryant Park Gbam - Global Corporate Investment Banking, New York, NY 10036
RIA
BD
CRD#: 283942
New York, NY
Past

March 28, 2018 - February 17, 2020

AFW ASSOCIATES LLC

BD
CRD#: 289429
NEW YORK, NY
Past

February 21, 2018 - April 4, 2018

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
New York, NY
Past

January 15, 2013 - March 18, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

December 16, 2009 - September 8, 2011

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
Maryland
(4/23/2022)
RR
New York
(6/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/2/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/2/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/2017
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
NB HOLDINGS CORPORATIONSOLE STOCKHOLDER
BHATIA, KASHYAP PCHIEF COMPLIANCE OFFICER / BROKER DEALER6110368
CHEPUCAVAGE, LAURA PDIRECTOR, STATE DESIGNATED PRINCIPAL4672504
GADKARI, SARANG RAJANDIRECTOR2522409
MCQUEEN, MATTHEW CDIRECTOR4204052
MOONEY, SARA RATHBONECHIEF FINANCIAL OFFICER7616382
RAE, GLEN ALEXANDERCHIEF LEGAL OFFICER6300829
SANTANNA, VINCENT C.CHIEF OPERATIONS OFFICER & FINOP5290525
STAGG, JENNIFER CCHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER2597167
ZUBERI, SOOFIAN J JDIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL2372292

Disclosures

Regulatory Event69

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.

Company Information

BOFA SECURITIES, INC.

CRD#: 283942New York, NY 10036

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