Brett M. Utnick
Professional summary
Brett Michael Utnick, who also goes by Brett Utnick, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Brett is registered as a RR (Registered Representative) and started their career in finance in 2001. Brett has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 99, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brett Michael Utnick's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2019 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036April 25, 2016 - May 8, 2019
RBC CAPITAL MARKETS, LLC
September 11, 2012 - April 27, 2016
MACQUARIE CAPITAL (USA) INC.
May 29, 2002 - July 15, 2003
NYLIFE SECURITIES LLC
January 23, 2001 - February 22, 2002
NYLIFE SECURITIES LLC
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
FINRA
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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