SG
Shonali Gupta
BMO CAPITAL MARKETS
New York, NY 10036
Some features on this profile are disabled
CRD#: 5142169
SG
Professional summary
Shonali Gupta is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Shonali is registered as a RR (Registered Representative) and started their career in finance in 2006. Shonali has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 17 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Shonali Gupta's 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®
NoneExperience
Current
January 27, 2026 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036BD
CRD#: 16686
New York, NY
Past
May 13, 2021 - February 15, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 22, 2021 - April 21, 2021
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
Past
June 20, 2017 - January 30, 2019
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
April 18, 2011 - July 20, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
November 25, 2008 - September 15, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 22, 2008 - November 20, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
September 6, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(2/4/2026)
RR
Alaska(2/5/2026)
RR
Arizona(2/9/2026)
RR
Arkansas(2/10/2026)
RR
California(2/3/2026)
RR
Colorado(2/4/2026)
RR
Connecticut(2/2/2026)
RR
Delaware(2/4/2026)
RR
District of Columbia(1/27/2026)
RR
Florida(1/27/2026)
RR
Georgia(2/3/2026)
RR
Hawaii(2/18/2026)
RR
Idaho(1/29/2026)
RR
Illinois(1/27/2026)
RR
Indiana(2/4/2026)
RR
Iowa(2/4/2026)
RR
Kansas(2/2/2026)
RR
Kentucky(1/27/2026)
RR
Louisiana(2/3/2026)
RR
Maine(2/5/2026)
RR
Maryland(2/5/2026)
RR
Massachusetts(2/3/2026)
RR
Michigan(1/27/2026)
RR
Minnesota(1/27/2026)
RR
Mississippi(1/27/2026)
RR
Missouri(2/3/2026)
RR
Montana(1/27/2026)
RR
Nebraska(1/27/2026)
RR
Nevada(2/4/2026)
RR
New Hampshire(2/17/2026)
RR
New Jersey(1/27/2026)
RR
New Mexico(2/4/2026)
RR
New York(2/3/2026)
RR
North Carolina(2/4/2026)
RR
North Dakota(2/9/2026)
RR
Ohio(2/3/2026)
RR
Oklahoma(1/27/2026)
RR
Oregon(2/4/2026)
RR
Pennsylvania(2/3/2026)
RR
Rhode Island(2/6/2026)
RR
South Carolina(1/27/2026)
RR
South Dakota(1/27/2026)
RR
Tennessee(2/3/2026)
RR
Texas(1/27/2026)
RR
Utah(2/3/2026)
RR
Vermont(2/4/2026)
RR
Virginia(2/4/2026)
RR
Washington(1/27/2026)
RR
West Virginia(2/11/2026)
RR
Wisconsin(2/4/2026)
RR
Wyoming(2/4/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 17
Date: 9/5/2006
Limited Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
BD
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)
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.
