Joseph A. Guardino
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.
Joseph Anthony Guardino JR, who also goes by Joseph Guardino, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 7 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2022 - May 20, 2025
BOFA SECURITIES PRIME, INC.
January 23, 2018 - May 20, 2025
BOFA SECURITIES, INC.
November 1, 2013 - November 27, 2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
October 7, 2010 - May 20, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2009 - February 21, 2012
MERRILL LYNCH GOVERNMENT SECURITIES INC.
February 13, 2004 - January 31, 2011
BANC OF AMERICA SECURITIES LLC
October 1, 1998 - December 31, 2003
BANC OF AMERICA SECURITIES LLC
December 15, 1997 - October 1, 1998
BANCAMERICA SECURITIES, 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 ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
