Vincent C. Santanna
Professional summary
Vincent C. Santanna, who also goes by VIncent Santana, Vincent Santanna, is a registered financial professional currently at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in Charlotte, North Carolina and BOFA SECURITIES, INC. located in Charlotte, North Carolina.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 2020. Vincent has worked at 4 firms and has passed the SIE, Series 99 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent C. Santanna's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2012 - Present
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Office #1: 100 N Tryon St Global Operations, Charlotte, NC 28255October 3, 2018 - Present
BOFA SECURITIES, INC.
Office #1: 100 N Tryon St Global Operations, Charlotte, NC 28255April 23, 2025 - Present
BOFA SECURITIES PRIME, INC.
Office #1: 100 N Tryon St Global Operations, Charlotte, NC 28255January 6, 2020 - August 14, 2023
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
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
BOX 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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