John O. Utendahl
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Oscar Utendahl was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2019 - February 2, 2023
BOFA SECURITIES, INC.
December 1, 2015 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2010 - October 7, 2015
DEUTSCHE BANK SECURITIES INC.
April 24, 2002 - January 11, 2010
UTENDAHL CAPITAL GROUP, LLC
May 29, 1992 - July 21, 1992
BROADCORT CAPITAL CORP.
May 15, 1992 - January 11, 2010
UTENDAHL CAPITAL PARTNERS, L.P.
April 27, 1992 - July 21, 1992
BROADCORT CAPITAL CORP.
December 15, 1987 - May 15, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1982 - June 17, 1986
SALOMON BROTHERS INC.
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
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 | 69 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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