Eric J. Ellis

MERRILL LYNCH, PIERCE, FENNER & SMITH

New York, NY 10036

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CRD#: 6983069

Professional summary

Eric Joseph Ellis, who also goes by Eric Joseph Ellis, is a registered financial professional currently at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in New York, New York and BOFA SECURITIES PRIME, INC. located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2023. Eric has worked at 3 firms and has passed the Series 99TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Joseph Ellis

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 Eric Joseph Ellis'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

August 1, 2023 - Present

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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

RIA

CRD#: 7691

New York, NY

Current

September 25, 2024 - Present

BOFA SECURITIES PRIME, INC.

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

CRD#: 316331

New York, NY

Current

September 25, 2024 - Present

BOFA SECURITIES, INC.

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

RIA

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".

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

General Industry/Product Exam

Series 99TO

Date: 8/1/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/26/2023

Securities Industry Essentials 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 (3/24/2025)

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

Red Flags

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Eric J. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Joseph Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOFA SECURITIES PRIME, INC.

BOFA SECURITIES, INC.

Primary Firm SEC Registration

BOFA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 8/1/2023

SIE

Date: 1/26/2023

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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