Nicholas Pateros

BMO CAPITAL MARKETS

Chicago, IL 60606

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CRD#: 4465283

Professional summary

Nicholas Pateros, who also goes by Nicholas D Pateros, Nicholas David Pateros, Nicholas D Pateros, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in Chicago, Illinois.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2001. Nicholas has worked at 4 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas D Pateros | Nicholas David Pateros | Nicholas D Pateros

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 Nicholas Pateros'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

July 16, 2025 - Present

BMO CAPITAL MARKETS CORP.

Office #1: 320 South Canal Street, Chicago, IL 60606

CRD#: 16686

Chicago, IL

Past

October 24, 2016 - May 12, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

November 2, 2006 - October 20, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

Past

April 9, 2002 - May 1, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RIVERWOODS, IL

Past

December 7, 2001 - May 1, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(7/16/2025)

New York
(7/16/2025)

Exams

State Security Law Exam

Series 63

Date: 11/3/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/11/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BMO CAPITAL MARKETS CORP.

CRD#: 16686 / SEC#: 801-73047, 8-34344

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

151 West 42nd Street, New York, NY 10036

Mailing Address

151 West 42nd Street, New York, NY 10036

Phone number

(212) 702-1101

Established

Delaware since 03/28/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,275

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RESEARCH RELATED ACTIVITY (3/28/2025)

SUB ADVISOR (3/28/2025)

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.

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Firm Stability Insights

Nicholas Pateros

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Pateros's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/2006

Series 66

Date: 1/11/2002

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/1/2006

Series 24

Date: 8/27/2018

FINRA

Current Firm

BMO CAPITAL MARKETS CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BMO CAPITAL MARKETS CORP.

TRUST BUT VERIFY

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