Kristin L. Irish
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.
Kristin L Irish, who also goes by Kristin Lee Irish, was a registered financial professional .
Kristin is a previously registered financial professional and started their career in finance in 1988. Kristin had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2015 - November 21, 2018
BMO CAPITAL MARKETS CORP.
August 6, 2013 - February 4, 2015
UBS FINANCIAL SERVICES INC.
May 27, 2013 - February 4, 2015
UBS SECURITIES LLC
May 27, 2013 - February 4, 2015
UBS FINANCIAL SERVICES INC.
September 3, 2002 - June 4, 2004
BROADPOINT AMTECH, INC.
December 9, 1997 - June 28, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
September 27, 1994 - December 9, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 1993 - September 10, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
July 19, 1990 - July 9, 1992
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 21, 1988 - May 21, 1990
MORGAN STANLEY & CO. LLC
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 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
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.
