ER
Earl G. Rix
BMO CAPITAL MARKETS
New York, NY 10036
Some features on this profile are disabled
CRD#: 1172407
ER
Professional summary
Earl Gerard Rix is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Earl is registered as a RR (Registered Representative) and started their career in finance in 1983. Earl has worked at 9 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Earl Gerard Rix'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®
NoneExperience
Current
September 1, 2018 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036BD
CRD#: 16686
New York, NY
Past
May 24, 2010 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
BD
CRD#: 151705
NEW YORK, NY
Past
May 1, 2009 - May 14, 2010
INTL FCSTONE CREDIT TRADING LLC
BD
CRD#: 41025
NEW YORK, NY
Past
May 23, 2005 - September 24, 2008
PIPER SANDLER & CO.
BD
CRD#: 665
NEW YORK, NY
Past
March 25, 2003 - June 1, 2005
SANDLER, O'NEILL & PARTNERS, L.P.
BD
CRD#: 23328
NEW YORK, NY
Past
August 9, 1999 - March 18, 2003
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
December 1, 1998 - August 12, 1999
BROADPOINT DESCAP
BD
CRD#: 14997
NEW YORK, NY
Past
August 4, 1992 - December 15, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 21, 1983 - September 25, 1990
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/1/2018)
RR
Alaska(9/1/2018)
RR
Arizona(9/1/2018)
RR
Arkansas(9/1/2018)
RR
California(9/1/2018)
RR
Colorado(9/1/2018)
RR
Connecticut(9/1/2018)
RR
Delaware(9/1/2018)
RR
District of Columbia(9/1/2018)
RR
Florida(9/1/2018)
RR
Georgia(9/1/2018)
RR
Hawaii(9/1/2018)
RR
Idaho(9/1/2018)
RR
Illinois(9/1/2018)
RR
Indiana(9/1/2018)
RR
Iowa(9/1/2018)
RR
Kansas(9/1/2018)
RR
Kentucky(9/1/2018)
RR
Louisiana(9/1/2018)
RR
Maine(9/1/2018)
RR
Maryland(9/1/2018)
RR
Massachusetts(9/1/2018)
RR
Michigan(9/1/2018)
RR
Minnesota(9/1/2018)
RR
Mississippi(9/1/2018)
RR
Missouri(9/1/2018)
RR
Montana(9/1/2018)
RR
Nebraska(9/1/2018)
RR
Nevada(9/1/2018)
RR
New Hampshire(9/1/2018)
RR
New Jersey(9/1/2018)
RR
New Mexico(9/1/2018)
RR
New York(9/1/2018)
RR
North Carolina(9/1/2018)
RR
North Dakota(9/1/2018)
RR
Ohio(9/1/2018)
RR
Oklahoma(9/1/2018)
RR
Oregon(9/1/2018)
RR
Pennsylvania(9/1/2018)
RR
Puerto Rico(9/1/2018)
RR
Rhode Island(9/1/2018)
RR
South Carolina(9/1/2018)
RR
South Dakota(9/1/2018)
RR
Texas(9/1/2018)
RR
Utah(9/1/2018)
RR
Vermont(9/1/2018)
RR
Virgin Islands(10/2/2018)
RR
Virginia(9/1/2018)
RR
Washington(9/1/2018)
RR
West Virginia(9/1/2018)
RR
Wisconsin(9/1/2018)
RR
Wyoming(9/1/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/22/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 702-1101
Established
Delaware since 03/28/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,275
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
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.
