Dawn M. Chan
Professional summary
Dawn Mi Chan, who also goes by Dawn Michelle Chan, Dawn Michelle Chan - Lucke, Dawn Michelle Lucke, Dawn Michelle Lucke-chan, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 2001. Dawn has worked at 4 firms and has passed the Series 79TO, SIE, Series 86, Series 87, Series 7, Series 16 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn Mi Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2022 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036January 13, 2016 - June 14, 2021
BMO CAPITAL MARKETS CORP.
October 11, 2007 - October 30, 2012
SEB SECURITIES, INC.
April 5, 2007 - October 26, 2015
INVESTEC SECURITIES (US) LLC
August 23, 2006 - March 2, 2007
INVESTEC SECURITIES (US) LLC
January 25, 2001 - March 23, 2006
CITIGROUP GLOBAL MARKETS 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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
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