Joseph A. Waskas
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.
Joseph Anthony Waskas was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2021 - February 20, 2024
BMO CAPITAL MARKETS CORP.
October 29, 2019 - September 18, 2020
CANTOR FITZGERALD & CO.
June 14, 2010 - November 5, 2019
CITIGROUP GLOBAL MARKETS INC.
April 3, 2006 - March 26, 2010
BNP PARIBAS SECURITIES CORP.
May 30, 2002 - April 12, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 2, 1998 - May 13, 2002
DEUTSCHE BANK SECURITIES INC.
April 7, 1997 - March 2, 1998
NATWEST SECURITIES CORPORATION
March 29, 1996 - March 25, 1997
SBC WARBURG, INC.
April 8, 1993 - September 7, 1995
UBS FINANCIAL SERVICES 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/13/2013
Limited Representative-Equity Trader ExamCurrent 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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