Vincent Baglivo
Professional summary
Vincent Baglivo, who also goes by VIncenzo Baglivo, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1989. Vincent has worked at 4 firms and has passed the SIE and Series 99 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent Baglivo's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2014 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036May 25, 2012 - August 20, 2014
RBC CAPITAL MARKETS, LLC
June 5, 1992 - September 29, 1992
SMITH NEW COURT, INC.
December 1, 1989 - July 16, 1990
HAPOALIM SECURITIES USA, INC.
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
FINRA
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
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