Glen Halstead
Professional summary
Glen Halstead, CFP® is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Glen is registered as a RR (Registered Representative) and started their career in finance in 1997. Glen has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Glen Halstead's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 4, 2009 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036April 15, 2004 - January 2, 2009
BARCLAYS CAPITAL INC.
December 5, 2001 - September 24, 2003
BNY MELLON SECURITIES LLC
August 9, 2000 - November 30, 2001
FIRSTAR INVESTMENT SERVICES,INC.
June 24, 1999 - December 5, 2001
CONSECO SECURITIES, INC.
November 20, 1998 - May 19, 1999
FIRST UNION BROKERAGE SERVICES, INC.
May 12, 1997 - September 3, 1998
MORGAN STANLEY DW 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
(2/4/2009)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/10/2002
Limited Representative-Equity Trader ExamFINRA
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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