Frank F. Schirm
Professional summary
Frank Frederick Schirm, who also goes by Derick Schirm, Frank Frederick Schirm IV, Frank Frederick Schirm, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2007. Frank has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Frederick Schirm's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2023 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036December 4, 2017 - March 10, 2023
MORGAN STANLEY
January 16, 2015 - October 31, 2017
OSAIC WEALTH, INC.
March 12, 2014 - January 7, 2015
LIME TRADING CORP
September 13, 2012 - November 6, 2013
VIRTU AMERICAS LLC
June 23, 2010 - August 2, 2012
ALLY INVEST SECURITIES LLC
June 1, 2009 - June 18, 2010
MORGAN STANLEY
June 1, 2009 - June 18, 2010
MORGAN STANLEY
June 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 13, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 31, 2008 - February 20, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
January 29, 2008 - February 20, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
November 16, 2007 - December 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
September 24, 2007 - December 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/20/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 1/30/2013
Limited Representative-Equity Trader ExamFINRA
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
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