Lorraine F. Tristano
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.
Lorraine Frances Tristano, who also goes by Lorraine Frances Trapani, was a registered financial professional .
Lorraine is a previously registered financial professional and started their career in finance in 1992. Lorraine had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2010 - July 20, 2018
BMO CAPITAL MARKETS CORP.
September 9, 2009 - February 5, 2010
RAFFERTY CAPITAL MARKETS, LLC
April 3, 2009 - August 25, 2009
BUCKMAN, BUCKMAN & REID, INC.
January 28, 2008 - February 10, 2009
CANTOR FITZGERALD & CO.
March 22, 2002 - July 6, 2007
RAYMOND JAMES & ASSOCIATES, INC.
February 22, 2002 - March 1, 2002
MARKET AXESS INC.
February 22, 2002 - March 18, 2002
MARKETAXESS CORPORATION
January 3, 2001 - February 5, 2001
J.P. MORGAN SECURITIES INC.
February 5, 1992 - January 25, 2001
JPMSI
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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