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Michael J. Marlatt

BMO NESBITT BURNS SECURITIES LTD.
Vancouver, British Columbia, V6C 3E8
Some features on this profile are disabled
CRD#: 4199278
MM

Professional summary

Michael James Marlatt is a registered financial professional currently at BMO NESBITT BURNS SECURITIES LTD. .

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 1 firm and has passed the Series 63, SIE and Series 37 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Michael James Marlatt'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

September 15, 2000 - Present

BMO NESBITT BURNS SECURITIES LTD.

Office #1: 2300-885 West Georgia St., Vancouver, British Columbia, V6C 3E8
BD
CRD#: 44057
Vancouver, British Columbia,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 37
Date: 9/12/2000
Canada Module of the General Securities Registered Representative (With Options Questions)
SRO Registrations
RR
FINRA

Current Firm

BN
BMO NESBITT BURNS SECURITIES LTD.
BMO CAPITAL MARKETS/BMO MARCHES DES CAPITAUX | NESBITT BURNS SECURITIES LTD. | BMO NESBITT BURNS VALEURS MOBILIERES LTEE | BMO NESBITT BURNS SECURITIES LTD.

CRD#: 44057 / SEC#: , 8-50538

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
C/o Legal Dept. 9th Floor 1 First Canadian Place M5x 1a1, Toronto, Ontario, M5X 1A1
Mailing Address
320 South Canal Street Floor 7, Chicago, IL 60606
Phone number
(312) 461-3918
Established
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BMO NESBITT BURNS INC.PARENT OF BMO NESBITT BURNS SECURITIES LTD.
BROWN, WILLIAM A LDIRECTOR3144046
FERMAN, BRUCE AARONCHAIRMAN OF THE BOARD6304645
GIGLIOTTI, STEPHEN MICHAELCHIEF COMPLIANCE OFFICER3063688
LAKE, STEPHANIE ANNDIRECTOR5845009
NARINE, IAN KENNETHCHIEF FINANCIAL OFFICER7570073
PERSAUD, DEVANAND NMNPRESIDENT4779881
RIGANTE, MAURODIRECTOR8124545

Disclosures

Regulatory Event1

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.

Company Information

BMO NESBITT BURNS SECURITIES LTD.

CRD#: 44057Vancouver, British Columbia, V6C 3E8

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