JP
James A. Pratt
BMO CAPITAL MARKETS
New York, NY 10036
Some features on this profile are disabled
CRD#: 2237197
JP
Professional summary
James Arthur Pratt, who also goes by Jim Pratt, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Pratt
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Arthur Pratt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 13, 2010 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036BD
CRD#: 16686
New York, NY
Past
February 29, 2008 - May 21, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
March 6, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
May 17, 2005 - February 16, 2007
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
October 8, 1997 - November 16, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
June 5, 1997 - October 14, 1997
SCOTIA CAPITAL (USA) INC.
BD
CRD#: 2739
NEW YORK, NY
Past
May 18, 1994 - May 28, 1997
TD SECURITIES (USA) LLC
BD
CRD#: 18476
NEW YORK, NY
Past
August 19, 1992 - January 19, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/13/2010)
RR
Arizona(7/13/2010)
RR
Arkansas(7/13/2010)
RR
California(7/13/2010)
RR
Colorado(7/13/2010)
RR
Connecticut(7/13/2010)
RR
Delaware(7/13/2010)
RR
District of Columbia(7/13/2010)
RR
Florida(7/13/2010)
RR
Georgia(7/13/2010)
RR
Illinois(7/13/2010)
RR
Indiana(7/13/2010)
RR
Iowa(7/13/2010)
RR
Kansas(7/13/2010)
RR
Kentucky(7/13/2010)
RR
Louisiana(7/13/2010)
RR
Maryland(7/13/2010)
RR
Massachusetts(7/13/2010)
RR
Michigan(7/13/2010)
RR
Minnesota(7/13/2010)
RR
Mississippi(7/13/2010)
RR
Missouri(7/13/2010)
RR
Nebraska(7/13/2010)
RR
Nevada(7/13/2010)
RR
New Jersey(7/13/2010)
RR
New York(7/13/2010)
RR
North Carolina(7/14/2010)
RR
Ohio(7/14/2010)
RR
Oklahoma(7/13/2010)
RR
Pennsylvania(7/13/2010)
RR
Rhode Island(7/13/2010)
RR
South Carolina(7/13/2010)
RR
Tennessee(7/13/2010)
RR
Texas(7/13/2010)
RR
Virginia(7/13/2010)
RR
West Virginia(7/13/2010)
RR
Wisconsin(7/13/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 702-1101
Established
Delaware since 03/28/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,275
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
