Jason Mitchell

BOFA SECURITIES

NEW YORK, NY 10036

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CRD#: 6888477

Professional summary

Jason Mitchell, who also goes by Jason Peter Mitchell, is a registered financial professional currently at BOFA SECURITIES, INC. located in New York, New York.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2018. Jason has worked at 4 firms and has passed the SIE and Series 99 exams.

Aliases

Jason Peter Mitchell

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 Jason Mitchell'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

October 3, 2018 - Present

BOFA SECURITIES, INC.

Office #1: One Bryant Park, New York, NY 10036

RIA

CRD#: 283942

NEW YORK, NY

Past

September 28, 2022 - September 21, 2026

BOFA SECURITIES PRIME, INC.

CRD#: 316331

CHARLOTTE, NC

Past

July 22, 2019 - August 14, 2023

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

CRD#: 16139

NEW YORK, NY

Past

August 15, 2018 - September 21, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

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".

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)

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.

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

What does exam status mean?

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Status Unavailable

Passed: 8/15/2018

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Jason Mitchell

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOFA SECURITIES, INC.

BOFA SECURITIES PRIME, INC.

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BOFA SECURITIES, INC.

State Registrations and Notice Filings

Exams

SIE

Passed: 10/1/2018

Series 99

Passed: 8/15/2018

FINRA

Current Firm

BOFA SECURITIES, INC.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BOFA SECURITIES, INC.

TRUST BUT VERIFY

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