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CRD#: 26091
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FIRM PROFILE
Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information
Where the Statistical Data for BANC OF AMERICA SECURITIES LLC Comes From
Understanding the Statistics for BANC OF AMERICA SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
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HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
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Individuals
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HNWI
No Information
Firm Disclosures
Regulatory Event
88
Civil Event
2
Arbitration
3
FIRM INFORMATION
Established
Delaware since 12/03/1997
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
How Do I Determine Which Firm to Work With?
Advisor's working at BANC OF AMERICA SECURITIES LLC
TL
Thomas Casey Loper
IAR
RR
CRD#: 5199516
Location:
Tulsa, OK 74105
Company:
CORNERSTONE WEALTH MANAGEMENT, LLC
Disclosures:
Experience:
19 years
Richard R Rake
IAR
CRD#: 841223
Location:
Glastonbury, CT 06033
Company:
FINANCIAL RESOURCES GROUP, LLC
Disclosures:
Experience:
48 years
Glenn Alan Blachman
IAR
CRD#: 2524096
Location:
Toms River, NJ 08753
Company:
SUMMIT FINANCIAL, LLC
Disclosures:
Experience:
31 years
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