CRD #283942 · FINRA BrokerCheck + SEC IAPD

Bofa Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Bofa Securities, Inc. ranks #63 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #20 of 868 on the same disclosure sort used on the state browse page. Bofa Securities, Inc. carries 74 BrokerCheck disclosures across 126 branch offices - moderate load for a large firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
126
branch offices
74
disclosures
#63 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 283942 Bofa Securities, Inc.

Bofa Securities, Inc. · Grade C · 74 disc · 0.59/office · Large firm

  • CRD 283942
  • GRADE C
  • DISC 74
  • REG 74
  • ARB 0
  • CIV 0
  • BRANCH 126
  • PER-OFF 0.59
  • RANK #63 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Janney Montgomery Scott LLC (0.57 disc/office)

Janney Montgomery Scott…0.57Nomura Securities Inter…0.66Oppenheimer & Co. Inc.0.45Bofa Securities, Inc. (this)0.59
Disclosures per office among large firm peers (lower is cleaner)

Bofa Securities, Inc. ranks #63 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.59 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

126 offices

FINRA: Large firm

Total disclosures

74 events

On FINRA BrokerCheck

Regulatory events

74 actions

100% of all disclosures

Disclosures per office

0.59 per office

74 ÷ 126 offices

Bofa Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 43% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 74
Arbitrations 0
Civil Events 0
Total 74

Counts for Bofa Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 74 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10036
Formed
09/01/2015
State of Formation
Delaware
CRD Number
283942
SEC Number
69787

Regulator-heavy mix

Bofa Securities, Inc. in the heavier-disclosure third

Bofa Securities, Inc. carries 74 BrokerCheck disclosures across 126 branch offices - a heavier-third raw book among graded firms (#63 of 20,055). Regulator-initiated events are 100% of the book (74 regulatory / 0 arbitration / 0 civil).

100% of Bofa Securities, Inc.'s 74 disclosures are regulator-initiated (74 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Bofa Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 8.46× state average

Bofa Securities, Inc. sits above the New York disclosure average

Bofa Securities, Inc. reports 74 BrokerCheck disclosures, 8.46× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Bofa Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Bofa Securities, Inc. ranks #63 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #20 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Bofa Securities, Inc.?
A grade of C reflects Bofa Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 74 total disclosures across 126 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Bofa Securities, Inc. have?
Bofa Securities, Inc. has 74 total FINRA disclosures, including 74 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Bofa Securities, Inc.?
Bofa Securities, Inc. operates 126 branch offices and is classified by FINRA as a large firm, registered in NY (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Bofa Securities, Inc.'s disciplinary record?
You can verify Bofa Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 283942. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Bofa Securities, Inc.'s 74 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Bofa Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Bofa Securities, Inc. carries 74 disclosures across 126 branch offices (about 0.59 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Bofa Securities, Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.