Scott A. Anderson
Professional summary
Scott Alan Anderson, who also goes by Scott A Anderson, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2009. Scott has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Alan Anderson's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2023 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036August 27, 2013 - August 31, 2023
BANCWEST INVESTMENT SERVICES, INC.
October 12, 2009 - September 27, 2012
WELLS FARGO SECURITIES, 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
(10/16/2023)
(10/16/2023)
Exams
FINRA
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
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