Joel C. Quall
Professional summary
Joel C Quall, who also goes by Joel Carl Quall, is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York and BMO CAPITAL MARKETS CORP. located in New York, New York.
Joel is registered as a RR (Registered Representative) and started their career in finance in 2006. Joel has worked at 9 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joel C Quall's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 28, 2024 - Present
CLEARPOOL EXECUTION SERVICES, LLC
Office #1: 151 West 42nd Street, New York, NY 10036August 28, 2024 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036September 25, 2020 - September 11, 2023
TZERO MARKETS
March 28, 2018 - September 11, 2023
TZERO SECURITIES, LLC
March 28, 2018 - September 11, 2023
SPEEDROUTE LLC
October 14, 2011 - February 8, 2018
VIRTU AMERICAS LLC
September 25, 2008 - March 28, 2011
KNIGHT BONDPOINT, INC.
November 8, 2007 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
January 5, 2006 - November 5, 2007
MARKETAXESS 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 ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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.
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