George P. Egbert
Professional summary
George Pennington Egbert III, who also goes by George P Egbert III, George Pennington Egbert III, George P Egbert, George Pennington Egbert, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
George is registered as a RR (Registered Representative) and started their career in finance in 2001. George has worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Pennington Egbert III's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2022 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036October 3, 2017 - August 9, 2019
GOLDMAN SACHS & CO. LLC
November 14, 2016 - October 2, 2017
INSTINET, LLC
February 9, 2015 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 2008 - November 25, 2014
BARCLAYS CAPITAL INC.
August 27, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
November 22, 2006 - August 14, 2007
MIDWOOD SECURITIES, INC.
April 15, 2004 - February 2, 2006
SUNGARD INSTITUTIONAL BROKERAGE INC.
February 21, 2001 - February 17, 2004
UBS FINANCIAL SERVICES 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
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Exams
FINRA
NYSE American LLC
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
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.
