Austin J. Hales
Professional summary
Austin Jonathan Hales 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 Charlotte, North Carolina.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2026. Austin has worked at 3 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Austin Jonathan Hales's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2026 - Present
BOFA SECURITIES, INC.
Office #1: One Bryant Park, New York, NY 10036March 17, 2026 - Present
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Office #1: 401 N Tryon St Ci Relationship Management, Charlotte, NC 28255May 1, 2026 - Present
BOFA SECURITIES PRIME, INC.
Office #1: One Bryant Park, New York, NY 10036State 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: 3/17/2026
Operations Professional ExaminationFINRA
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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