Kevin P. Dodds
Professional summary
Kevin Patrick Dodds, who also goes by Kevin P Dodds, Kevin Patrick Dodds, Kevin Dodds, Kevin P. Dodds, is a registered financial professional currently at BOFA SECURITIES, INC. located in New York, New York and BOFA SECURITIES PRIME, INC. located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1985. Kevin has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 3, Series 7, Series 14, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Patrick Dodds's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2021 - Present
BOFA SECURITIES, INC.
Office #1: One Bryant Park, New York, NY 10036August 10, 2022 - Present
BOFA SECURITIES PRIME, INC.
Office #1: One Bryant Park, New York, NY 10036June 30, 2016 - August 20, 2021
J.P. MORGAN PRIME INC.
January 14, 2011 - October 1, 2016
J.P. MORGAN CLEARING CORP.
January 14, 2011 - August 20, 2021
J.P. MORGAN SECURITIES LLC
December 9, 2009 - December 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2009 - December 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 1996 - May 4, 2009
CLG INVESTMENT COMPANY, INC.
January 19, 1988 - February 20, 1996
CLG INVESTMENT COMPANY, INC.
October 23, 1986 - January 1, 1988
SBT INVESTORS BROKERAGE SERVICES, INC.
November 19, 1985 - December 23, 1986
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/8/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/5/1999
Limited Representative-Equity Trader ExamBOX 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 PRIME, INC.
CRD#: 316331 / SEC#: , 8-70788
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOFA SECURITIES, INC. | SOLE SHAREHOLDER | 283942 |
| BOURNE, STUART MARK | DIRECTOR | 6611063 |
| DODDS, KEVIN PATRICK | CHIEF COMPLIANCE OFFICER | 1389294 |
| HUEBSCH, KEITH EVAN | DIRECTOR | 6367678 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCOTT, MATTHEW ROBERTS | CHIEF EXECUTIVE OFFICER & PRESIDENT | 2522403 |
Red Flags
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