Alan M. Schapiro
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.
Alan Michael Schapiro was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 9 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2011 - September 27, 2013
BMO CAPITAL MARKETS CORP.
April 6, 2010 - July 13, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
April 23, 2008 - February 10, 2010
MF GLOBAL INC.
March 12, 2001 - April 21, 2008
UBS SECURITIES LLC
August 7, 1997 - March 12, 2001
UBS FINANCIAL SERVICES INC.
March 22, 1995 - October 1, 1996
JPMSI
August 29, 1991 - August 5, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 1990 - March 18, 1994
BARCLAYS CAPITAL INC.
February 26, 1987 - February 16, 1989
KIDDER, PEABODY & CO. INCORPORATED
September 24, 1982 - March 8, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
Red Flags
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