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MI

Manami Ishii

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CRD#: 7522038
MI

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.

Manami Ishii was a registered financial professional .

Manami is a previously registered financial professional and started their career in finance in 2024. Manami had worked at 3 firms and has passed the Series 99TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 10, 2025 - May 13, 2025

BOFA SECURITIES PRIME, INC.

BD
CRD#: 316331
NEW YORK, NY
Past

July 15, 2024 - May 13, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 6, 2024 - May 13, 2025

BOFA SECURITIES, INC.

BD
CRD#: 283942
CHARLOTTE, NC

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
Series 99TO
Date: 7/5/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/5/2024
Securities Industry Essentials Examination

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#: 316331

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