Jotzu Chi
Professional summary
Jotzu Chi, who also goes by Doris Chi, Jo - Tzu Chi, Jo-tzu Chi, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Jotzu is registered as a RR (Registered Representative) and started their career in finance in 2003. Jotzu has worked at 3 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jotzu Chi's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2023 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036June 22, 2004 - May 2, 2023
CREDIT SUISSE SECURITIES (USA) LLC
July 10, 2003 - June 16, 2004
APEX CLEARING CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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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