Susanne H. Vorster
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.
Susanne Hedda Vorster was a registered financial professional .
Susanne is a previously registered financial professional and started their career in finance in 1990. Susanne had worked at 10 firms and has passed the Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2003 - October 9, 2013
BMO CAPITAL MARKETS CORP.
September 11, 2002 - May 18, 2012
BMO NESBITT BURNS TRADING CORP. S.A.
September 23, 1999 - October 31, 2003
HARRIS NESBITT CORP.
March 5, 1998 - September 21, 1998
SANWA UNIVERSAL SECURITIES CO., LLC
February 24, 1993 - September 21, 1998
SANWA SECURITIES (USA) CO., L.P.
February 28, 1991 - September 30, 1992
FUNDAMENTAL CORPORATE BOND BROKERS
February 28, 1991 - September 30, 1992
FUNDAMENTAL BROKERS
July 24, 1990 - February 28, 1991
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
July 19, 1990 - August 2, 1990
FUNDAMENTAL BROKERS INTERNATIONAL INC.
July 5, 1990 - February 28, 1991
FUNDAMENTAL BROKERS
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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