Joseph M. Nenichka
Professional summary
Joseph Michael Nenichka, who also goes by Joseph Michael Nenichka, 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.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1987. Joseph has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Nenichka's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2019 - 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 10036August 16, 2013 - November 29, 2017
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
November 1, 2010 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2005 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
May 29, 2003 - November 14, 2003
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 23, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
December 23, 1992 - August 15, 1994
LEHMAN BROTHERS INC.
May 13, 1987 - January 23, 1992
LEHMAN BROTHERS 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX 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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