MW
Matthew E. Wiesner
BMO CAPITAL MARKETS
Neptune Beach, FL 32266
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CRD#: 5353771
MW
Professional summary
Matthew Edward Wiesner is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in Neptune Beach, Florida.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 3 firms and has passed the Series 63, SIE, 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 Matthew Edward Wiesner'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
June 12, 2023 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 241 Atlantic Boulevard Suite 201, Neptune Beach, FL 32266BD
CRD#: 16686
Neptune Beach, FL
Past
January 7, 2013 - May 30, 2023
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
JACKSONVILLE, FL
Past
December 6, 2007 - August 11, 2008
ABN AMRO INCORPORATED
BD
CRD#: 15776
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(6/12/2023)
RR
Alaska(6/12/2023)
RR
Arizona(6/12/2023)
RR
Arkansas(6/12/2023)
RR
California(6/12/2023)
RR
Colorado(6/12/2023)
RR
Connecticut(6/12/2023)
RR
Delaware(6/12/2023)
RR
District of Columbia(6/12/2023)
RR
Florida(6/12/2023)
RR
Georgia(6/12/2023)
RR
Hawaii(6/12/2023)
RR
Idaho(6/12/2023)
RR
Illinois(6/12/2023)
RR
Indiana(6/12/2023)
RR
Iowa(6/12/2023)
RR
Kansas(6/12/2023)
RR
Kentucky(6/12/2023)
RR
Louisiana(6/12/2023)
RR
Maine(6/12/2023)
RR
Maryland(6/12/2023)
RR
Massachusetts(6/12/2023)
RR
Michigan(6/12/2023)
RR
Minnesota(6/12/2023)
RR
Mississippi(6/12/2023)
RR
Missouri(6/12/2023)
RR
Montana(6/12/2023)
RR
Nebraska(6/12/2023)
RR
Nevada(6/12/2023)
RR
New Hampshire(6/12/2023)
RR
New Jersey(6/12/2023)
RR
New Mexico(6/12/2023)
RR
New York(6/12/2023)
RR
North Carolina(6/12/2023)
RR
North Dakota(6/12/2023)
RR
Ohio(6/12/2023)
RR
Oklahoma(6/12/2023)
RR
Oregon(6/12/2023)
RR
Pennsylvania(6/12/2023)
RR
Puerto Rico(6/12/2023)
RR
Rhode Island(6/12/2023)
RR
South Carolina(6/12/2023)
RR
South Dakota(6/12/2023)
RR
Tennessee(6/12/2023)
RR
Texas(6/12/2023)
RR
Utah(6/12/2023)
RR
Vermont(6/12/2023)
RR
Virgin Islands(6/12/2023)
RR
Virginia(6/12/2023)
RR
Washington(6/12/2023)
RR
West Virginia(6/12/2023)
RR
Wisconsin(6/12/2023)
RR
Wyoming(6/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 17
Date: 12/5/2007
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 |
| 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BMO CAPITAL MARKETS CORP.
CRD#: 16686Neptune Beach, FL 32266TRUST BUT VERIFY
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