Stephen M. Gigliotti

BMO NESBITT BURNS SECURITIES LTD.

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 3063688

Professional summary

Stephen Michael Gigliotti is a registered financial advisor currently at BMO NESBITT BURNS SECURITIES LTD. located in Chicago, Illinois and BMO NESBITT BURNS SECURITIES LTD. .

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Gigliotti's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 5, 2021 - Present

BMO NESBITT BURNS SECURITIES LTD.

Office #1: 320 S. Canal St., Chicago, IL 60606

RIA

CRD#: 281337

Chicago, IL

Current

July 16, 2018 - Present

BMO NESBITT BURNS SECURITIES LTD.

Office #1: C/o Legal Dept. 9th Floor 1 First Canadian Place M5x 1a1, Toronto, Ontario, M5X 1A1

CRD#: 44057

Toronto, Ontario,

Past

June 15, 2018 - August 2, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

CHICAGO, IL

Past

June 14, 2018 - August 10, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Past

October 1, 2008 - May 30, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

October 1, 2008 - May 30, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

October 12, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

LOUISVILLE, KY

Past

July 20, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

LOUISVILLE, KY

Past

February 27, 2003 - June 21, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

LOUISVILLE, KY

Past

November 22, 2002 - June 21, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BMO NESBITT BURNS SECURITIES LTD.

CRD#: 281337 / SEC#: 801-107176

RIA

Registered Investment Advisory firm - (2/9/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(7/16/2018)

IAR

Illinois
(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

State Security Law Exam

IAR

Series 66

Date: 2/26/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 7/24/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/16/2003

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BMO NESBITT BURNS SECURITIES LTD.

CRD#: 281337 / SEC#: 801-107176

RIA

Registered Investment Advisory firm - (2/9/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1 First Canadian Place 41st Floor, Toronto, Ontario, M5X 1A1

Mailing Address

320 South Canal Street Floor 7, Chicago, IL 60606

Phone number

(416) 359-4000

Established

Firm type

Fiscal year end

# of Employees

277

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BMO NESBITT BURNS SECURITIES LTD FORM ADV PART 2A BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts	1,097
AUM (Assets Under Management)	$ 932,018,173

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen M. Gigliotti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Gigliotti's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO NESBITT BURNS SECURITIES LTD.

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

Primary Firm SEC Registration

BMO NESBITT BURNS SECURITIES LTD.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/26/2003

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2002

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 14

Date: 1/2/2023

Series 4

Date: 7/24/2006

Series 24

Date: 1/27/2006

Series 53

Date: 9/16/2003

FINRA

Current Firm

BMO NESBITT BURNS SECURITIES LTD.

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BMO NESBITT BURNS SECURITIES LTD.

TRUST BUT VERIFY

Similar Advisors