William R. Baylis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Robert Baylis, who also goes by Bill Baylis, William Robert Baylis, William Baylis, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 19 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2018 - September 28, 2022
BMO CAPITAL MARKETS CORP.
May 2, 2016 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
October 2, 2013 - May 23, 2016
DEUTSCHE BANK SECURITIES INC.
December 20, 2012 - May 23, 2016
DEUTSCHE BANK SECURITIES INC.
September 26, 2012 - November 13, 2012
SECUREVEST FINANCIAL GROUP
July 5, 2012 - July 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2012 - July 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2011 - April 30, 2012
MULTI-BANK SECURITIES, INC.
June 22, 2009 - January 5, 2011
FINANCIAL NORTHEASTERN SECURITIES, INC.
January 23, 2008 - May 7, 2008
GRANTA CAPITAL GROUP LLC
August 16, 2007 - October 30, 2007
MOORS & CABOT, INC.
February 21, 2007 - April 23, 2007
GRANTA CAPITAL GROUP LLC
June 8, 2006 - January 16, 2007
AMEREST SECURITIES, INC.
October 11, 2005 - December 7, 2005
NEWBRIDGE SECURITIES CORPORATION
August 9, 2005 - October 3, 2005
MORGAN STANLEY DW INC.
July 6, 2005 - October 3, 2005
MORGAN STANLEY DW INC.
June 24, 2004 - July 20, 2005
CITIGROUP GLOBAL MARKETS INC.
May 20, 2003 - December 8, 2003
CAPITAL GROWTH FINANCIAL, LLC
October 8, 2002 - March 19, 2003
LH ROSS & COMPANY, INC.
August 9, 2002 - October 9, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 20, 2002 - August 22, 2002
A. G. EDWARDS & SONS, INC.
February 25, 2002 - March 14, 2002
LADENBURG CAPITAL MANAGEMENT INC.
January 25, 2002 - January 28, 2002
NEWBRIDGE SECURITIES CORPORATION
January 2, 2002 - February 22, 2002
LADENBURG CAPITAL MANAGEMENT INC.
December 7, 2001 - January 2, 2002
LADENBURG THALMANN & CO. 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
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.
