Michael Arias
Professional summary
Michael Arias, who also goes by Michael Joseph Arias, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 7 firms and has passed the Series 63, Series 86, Series 87, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Arias's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2026 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036April 22, 2024 - April 16, 2025
PRIME EXECUTIONS, INC.
January 31, 2022 - February 2, 2024
CREDIT SUISSE SECURITIES (USA) LLC
March 5, 2020 - October 23, 2020
TRUIST SECURITIES, INC.
April 3, 2018 - November 13, 2019
MUFG SECURITIES AMERICAS INC.
May 7, 2015 - March 22, 2018
MORGAN STANLEY & CO. LLC
August 29, 2012 - July 28, 2014
HSBC SECURITIES (USA) 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
(4/22/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/22/2013
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
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 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
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.
