CL
Chuong Luc
BOFA SECURITIES
Palo Alto, CA 94304
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CRD#: 6228893
CL
Professional summary
Chuong Luc, who also goes by Chuong Hoahg Luc, Chuong Hoang Luc, is a registered financial professional currently at BOFA SECURITIES, INC. located in Palo Alto, California.
Chuong is registered as a RR (Registered Representative) and started their career in finance in 2013. Chuong has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 62 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chuong Hoahg Luc | Chuong Hoang Luc
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 Chuong Luc'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
August 30, 2021 - Present
BOFA SECURITIES, INC.
Office #1: 3075 Hansen Way Gbam - Global Corporate Investment Banking, Palo Alto, CA 94304RIA
BD
CRD#: 283942
Palo Alto, CA
Past
January 26, 2015 - October 5, 2016
PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC
BD
CRD#: 41461
San Jose, CA
Past
August 19, 2013 - November 5, 2014
HOULIHAN LOKEY CAPITAL, INC.
BD
CRD#: 17708
LOS ANGELES, CA
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
California(9/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/30/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 4/29/2015
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
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)
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 | 71 |
Red Flags
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Company Information
BOFA SECURITIES, INC.
CRD#: 283942Palo Alto, CA 94304TRUST BUT VERIFY
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