Carl A. Mayer
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.
Carl A Mayer III, who also goes by Carl A Mayer III, Carl A. Mayer III, Trip Mayer, Carl A Mayer, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1995. Carl had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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 4, 2019 - January 27, 2023
BMO CAPITAL MARKETS CORP.
August 18, 2016 - September 13, 2019
GUGGENHEIM SECURITIES, LLC
September 15, 2011 - July 29, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
April 30, 2009 - January 5, 2011
CITADEL SECURITIES LLC
January 3, 2005 - April 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 1999 - August 10, 2004
DEUTSCHE BANK SECURITIES INC.
June 5, 1998 - September 7, 1999
J.P. MORGAN SECURITIES LLC
June 12, 1996 - May 26, 1998
COWEN AND COMPANY
November 14, 1995 - April 3, 1996
J.P. MORGAN SECURITIES LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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
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.
