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RT

Raymond Thomas

MERRILL LYNCH, PIERCE, FENNER & SMITH
CHARLOTTE, NC 28255
Some features on this profile are disabled
CRD#: 5999778
RT

Professional summary

Raymond Thomas, who also goes by Raymond Rudolph Thomas Jr., Raymond Thomas, is a registered financial professional currently at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in Charlotte, North Carolina and BOFA SECURITIES, INC. located in New York, New York.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 2012. Raymond has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Raymond Rudolph Thomas Jr. | Raymond Thomas

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 Raymond Thomas'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

July 16, 2012 - Present

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Office #1: 150 N College St, Charlotte, NC 28255
RIA
BD
CRD#: 7691
CHARLOTTE, NC
Current

October 3, 2018 - Present

BOFA SECURITIES, INC.

Office #1: One Bryant Park Gbam - Global Equities, New York, NY 10036
RIA
BD
CRD#: 283942
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 7/14/2012
Operations Professional 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#: 283942Charlotte, NC 28255

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