Kathy Hu

BOFA SECURITIES

Chicago, IL 60606

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CRD#: 7537415

Professional summary

Kathy Hu is a registered financial professional currently at BOFA SECURITIES, INC. located in Chicago, Illinois.

Kathy is registered as a RR (Registered Representative) and started their career in finance in 2022. Kathy has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Kathy Hu'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

May 25, 2022 - Present

BOFA SECURITIES, INC.

Office #1: 110 N Wacker Dr Gbam - Global Corporate Investment Banking, Chicago, IL 60606

RIA

CRD#: 283942

Chicago, IL

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.

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

Alabama
(5/8/2025)

Alaska
(5/8/2025)

Arizona
(5/8/2025)

Arkansas
(5/8/2025)

California
(5/8/2025)

Colorado
(5/8/2025)

Connecticut
(5/8/2025)

Delaware
(5/8/2025)

District of Columbia
(5/8/2025)

Florida
(5/8/2025)

Georgia
(5/8/2025)

Hawaii
(5/8/2025)

Idaho
(5/8/2025)

Illinois
(6/29/2022)

Indiana
(5/8/2025)

Iowa
(5/8/2025)

Kansas
(5/8/2025)

Kentucky
(5/8/2025)

Louisiana
(5/8/2025)

Maine
(5/8/2025)

Maryland
(5/8/2025)

Massachusetts
(5/8/2025)

Michigan
(5/8/2025)

Minnesota
(5/8/2025)

Mississippi
(5/8/2025)

Missouri
(5/8/2025)

Montana
(5/8/2025)

Nevada
(5/8/2025)

New Hampshire
(5/8/2025)

New Jersey
(5/8/2025)

New Mexico
(5/8/2025)

New York
(5/8/2025)

North Carolina
(5/8/2025)

North Dakota
(5/8/2025)

Ohio
(5/9/2025)

Oklahoma
(5/8/2025)

Oregon
(5/8/2025)

Pennsylvania
(5/8/2025)

Puerto Rico
(5/8/2025)

Rhode Island
(5/8/2025)

South Carolina
(5/8/2025)

South Dakota
(5/8/2025)

Tennessee
(5/8/2025)

Texas
(5/8/2025)

Utah
(5/8/2025)

Vermont
(5/8/2025)

Virgin Islands
(5/8/2025)

Virginia
(5/8/2025)

Washington
(5/8/2025)

West Virginia
(5/8/2025)

Wisconsin
(5/8/2025)

Wyoming
(5/8/2025)

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

State Security Law Exam

Series 63

Date: 6/28/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/18/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 5/25/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 5/23/2022

Securities Industry Essentials Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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

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.

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Advisor Monitoring

Firm Stability Insights

Kathy Hu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathy Hu's CRS (Customer Relationship Summary).

Certified licenses

Experience

Primary Firm SEC Registration

BOFA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/2022

Series 7TO

Date: 12/18/2024

Series 79TO

Date: 5/25/2022

SIE

Date: 5/23/2022

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

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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