Victoria H. Smith
Professional summary
Victoria H Smith, who also goes by VIckie H Smith, Victoria Hope Smith, is a registered financial professional currently at BOFA SECURITIES, INC. located in New York, New York and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in New York, New York.
Victoria is registered as a RR (Registered Representative) and started their career in finance in 2022. Victoria has worked at 4 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Victoria H Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2022 - Present
BOFA SECURITIES, INC.
Office #1: One Bryant Park, New York, NY 10036September 12, 2022 - Present
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Office #1: One Bryant Park, New York, NY 10036February 3, 2023 - Present
BOFA SECURITIES PRIME, INC.
Office #1: One Bryant Park, New York, NY 10036September 12, 2022 - 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
Series 99TO
Date: 2/15/2024
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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