Frederic M. Krieger
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.
Frederic Michael Krieger was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1992. Frederic had worked at 8 firms and has passed the Series 63, SIE, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2018 - January 28, 2019
BMO CAPITAL MARKETS CORP.
July 15, 2010 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
May 9, 2005 - March 27, 2006
SALOMON REINVESTMENT COMPANY INC
May 9, 2005 - August 29, 2006
CITIGROUP GLOBAL MARKETS PUERTO RICO INC.
July 20, 2004 - July 28, 2006
CITIGROUP GLOBAL MARKETS INC.
October 4, 2002 - July 21, 2004
CITIGROUP GENEVA CAPITAL STRATEGIES INC.
December 15, 1998 - March 28, 2002
CHARLES SCHWAB & CO., INC.
September 1, 1998 - December 11, 1998
CITIGROUP GLOBAL MARKETS INC.
February 3, 1992 - September 1, 1998
SALOMON BROTHERS 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
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
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