Individual Firm
NEW YORK, NY 10036 UNITED STATES
NEW YORK, NY 10036 UNITED STATES
NC1-007-14-30
CHARLOTTE, NC 28255 UNITED STATES
| Name | Position |
|---|---|
| BOFA SECURITIES, INC. (CRD#: 283942) | SOLE SHAREHOLDER |
| BOURNE, STUART MARK (CRD#:6611063) | DIRECTOR |
| CROWE, DEVIN (CRD#:6329422) | CHIEF FINANCIAL OFFICER |
| DODDS, KEVIN PATRICK (CRD#:1389294) | CHIEF COMPLIANCE OFFICER |
| GUARDINO, JOSEPH ANTHONY JR (CRD#:2907957) | CHIEF OPERATIONS OFFICER & FINOP |
| HUEBSCH, KEITH EVAN (CRD#:6367678) | DIRECTOR |
| SCOTT, MATTHEW ROBERTS (CRD#:2522403) | CHIEF EXECUTIVE OFFICER & PRESIDENT |
| TUFANO, CHRISTOPHER (CRD#:4107225) | DIRECTOR |
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A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
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