Michael J. Capello
Professional summary
Michael J Capello, who also goes by Michael James Capello, Michael Capello, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 27, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael J Capello's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2014 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036May 2, 2011 - December 3, 2012
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
April 29, 2011 - December 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2006 - April 25, 2011
UBS SECURITIES LLC
February 20, 2001 - February 9, 2006
UBS FINANCIAL SERVICES INC.
September 26, 2000 - March 14, 2001
QUICK & REILLY, 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
(3/25/2014)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/13/2006
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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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