Alexander Thomas Perry
Professional Summary
Alexander Thomas Perry, who also goes by Alexander Perry, is a registered financial advisor currently at BOFA SECURITIES, INC. located in New York, New York. Alexander is registered as a RR (Registered Representative) and started their career in finance in 2017. Alexander has worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alexander Perry
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Contact Information
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Disclosures on record.
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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.
Contact Information
Main Address
One Bryant Park, New York, NY 10036Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255Phone Number
(646) 743-2734Established
Delaware since 09/01/2015Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
317SEC 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
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
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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.
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Primary Firm SEC Registration
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Sep 2017About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Alexander Thomas Perry's CRS (Customer Relationship Summary).
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