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KP

Karen Pontious

BOFA SECURITIES
Charlotte, NC 28255
Some features on this profile are disabled
CRD#: 6006031
KP

Professional summary

Karen Pontious, who also goes by Karen Dee Pontious, is a registered financial professional currently at BOFA SECURITIES, INC. located in Charlotte, North Carolina and BOFA SECURITIES PRIME, INC. located in Charlotte, North Carolina.

Karen is registered as a RR (Registered Representative) and started their career in finance in 2019. Karen has worked at 4 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Karen Dee Pontious

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karen Pontious'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®
None

Experience

Current

May 10, 2019 - Present

BOFA SECURITIES, INC.

Office #1: 100 N Tryon St Global Operations, Charlotte, NC 28255
RIA
BD
CRD#: 283942
Charlotte, NC
Current

January 23, 2023 - Present

BOFA SECURITIES PRIME, INC.

Office #1: 100 N Tryon St Global Operations, Charlotte, NC 28255
BD
CRD#: 316331
CHARLOTTE, NC
Past

November 4, 2019 - August 14, 2023

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
NEW YORK, NY
Past

January 18, 2019 - 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/19/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 1/18/2019
Operations Professional Examination
SRO Registrations
RR
FINRA

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BOFA SECURITIES, INC.SOLE SHAREHOLDER283942
BOURNE, STUART MARKDIRECTOR6611063
DODDS, KEVIN PATRICKCHIEF COMPLIANCE OFFICER1389294
HUEBSCH, KEITH EVANDIRECTOR6367678
MOONEY, SARA RATHBONECHIEF FINANCIAL OFFICER7616382
SANTANNA, VINCENT C.CHIEF OPERATIONS OFFICER & FINOP5290525
SCOTT, MATTHEW ROBERTSCHIEF EXECUTIVE OFFICER & PRESIDENT2522403

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.

Company Information

BOFA SECURITIES PRIME, INC.

CRD#: 316331Charlotte, NC 28255

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