Stephen Michael Gigliotti
Professional Summary
Stephen Michael Gigliotti is a registered financial advisor currently at BMO NESBITT BURNS SECURITIES LTD. located in Chicago, Illinois and . Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Stephen has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 4, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
BMO NESBITT BURNS SECURITIES LTD.
Contact Information
Main Address
1 First Canadian Place 41st Floor, Toronto, Ontario, M5X 1A1Mailing Address
320 South Canal Street Floor 7, Chicago, IL 60606Phone Number
(416) 624-5509# of Employees
303SEC notice filing (35 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,330AUM (Assets Under Management)
$1,197,584,310Similar Advisors
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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.
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Primary Firm SEC Registration
BMO NESBITT BURNS SECURITIES LTD.
State Registrations and Notice Filings
(7/16/2018)
(8/5/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Gigliotti's CRS (Customer Relationship Summary).
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