SW
Shawn D. Weston
BOFA SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 3223570
SW
Professional summary
Shawn D Weston 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.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 2004. Shawn has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Shawn D Weston's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 10, 2019 - Present
BOFA SECURITIES, INC.
Office #1: One Bryant Park Gbam - Global Equities, New York, NY 10036RIA
BD
CRD#: 283942
New York, NY
Current
September 6, 2024 - Present
BOFA SECURITIES PRIME, INC.
Office #1: One Bryant Park, New York, NY 10036BD
CRD#: 316331
New York, NY
Past
November 23, 2004 - August 14, 2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
BD
CRD#: 16139
NEW YORK, NY
Past
April 26, 2004 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/10/2019)
RR
Alaska(5/10/2019)
RR
Arizona(5/10/2019)
RR
Arkansas(5/10/2019)
RR
California(5/10/2019)
RR
Colorado(5/10/2019)
RR
Connecticut(5/10/2019)
RR
Delaware(5/10/2019)
RR
District of Columbia(5/10/2019)
RR
Florida(5/10/2019)
RR
Georgia(5/10/2019)
RR
Hawaii(5/10/2019)
RR
Idaho(5/10/2019)
RR
Illinois(5/10/2019)
RR
Indiana(5/10/2019)
RR
Iowa(5/10/2019)
RR
Kansas(5/10/2019)
RR
Kentucky(5/10/2019)
RR
Louisiana(5/10/2019)
RR
Maine(5/10/2019)
RR
Maryland(5/10/2019)
RR
Massachusetts(5/10/2019)
RR
Michigan(5/10/2019)
RR
Minnesota(5/10/2019)
RR
Mississippi(5/10/2019)
RR
Missouri(5/10/2019)
RR
Montana(5/10/2019)
RR
Nebraska(5/10/2019)
RR
New Hampshire(5/10/2019)
RR
New Jersey(5/10/2019)
RR
New Mexico(5/10/2019)
RR
New York(5/10/2019)
RR
North Dakota(5/10/2019)
RR
Ohio(5/10/2019)
RR
Oklahoma(5/10/2019)
RR
Oregon(5/10/2019)
RR
Pennsylvania(5/10/2019)
RR
Puerto Rico(5/29/2019)
RR
Rhode Island(5/10/2019)
RR
South Carolina(5/10/2019)
RR
South Dakota(5/10/2019)
RR
Tennessee(5/10/2019)
RR
Texas(5/10/2019)
RR
Utah(5/10/2019)
RR
Vermont(5/10/2019)
RR
Virgin Islands(5/10/2019)
RR
Virginia(5/10/2019)
RR
Washington(5/10/2019)
RR
West Virginia(5/10/2019)
RR
Wisconsin(5/10/2019)
RR
Wyoming(5/10/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BS
BOFA SECURITIES PRIME, INC.
BOFA SECURITIES PRIME, INC.
CRD#: 316331 / SEC#: , 8-70788
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(646) 743-1295
Established
Delaware since 07/27/2021
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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.
