Walter A. Snickenberger

BMO CAPITAL MARKETS

BOSTON, MA 02109

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CRD#: 5749111

Professional summary

Walter Alex Snickenberger, who also goes by W Alex Snickenberger, Alex Snickenberger, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in Boston, Massachusetts.

Walter is registered as a RR (Registered Representative) and started their career in finance in 2010. Walter has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

W Alex Snickenberger | Alex Snickenberger

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Walter Alex Snickenberger's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 24, 2020 - Present

BMO CAPITAL MARKETS CORP.

Office #1: 50 Milk Street 10th Floor Suite 'lavender', Boston, MA 02109

CRD#: 16686

BOSTON, MA

Past

August 21, 2017 - September 9, 2020

BARCLAYS CAPITAL INC.

CRD#: 19714

BOSTON, MA

Past

January 14, 2010 - August 14, 2017

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(8/24/2020)

Alaska
(8/24/2020)

Arizona
(8/24/2020)

Arkansas
(8/24/2020)

California
(8/24/2020)

Colorado
(8/24/2020)

Connecticut
(8/24/2020)

Delaware
(8/24/2020)

District of Columbia
(8/24/2020)

Florida
(8/24/2020)

Georgia
(8/24/2020)

Hawaii
(8/24/2020)

Idaho
(8/24/2020)

Illinois
(8/24/2020)

Indiana
(8/24/2020)

Iowa
(8/24/2020)

Kansas
(8/24/2020)

Kentucky
(8/24/2020)

Louisiana
(8/24/2020)

Maine
(8/24/2020)

Maryland
(8/24/2020)

Massachusetts
(8/24/2020)

Michigan
(8/24/2020)

Minnesota
(8/24/2020)

Mississippi
(8/24/2020)

Missouri
(8/24/2020)

Montana
(8/24/2020)

Nebraska
(8/24/2020)

Nevada
(8/24/2020)

New Hampshire
(8/24/2020)

New Jersey
(8/24/2020)

New Mexico
(8/24/2020)

New York
(8/24/2020)

North Carolina
(8/24/2020)

North Dakota
(8/24/2020)

Ohio
(8/24/2020)

Oklahoma
(8/24/2020)

Oregon
(8/24/2020)

Pennsylvania
(8/24/2020)

Puerto Rico
(8/24/2020)

Rhode Island
(8/24/2020)

South Carolina
(8/24/2020)

South Dakota
(8/24/2020)

Tennessee
(8/24/2020)

Texas
(8/24/2020)

Utah
(8/24/2020)

Vermont
(8/24/2020)

Virgin Islands
(8/24/2020)

Virginia
(8/24/2020)

Washington
(8/24/2020)

West Virginia
(8/24/2020)

Wisconsin
(8/24/2020)

Wyoming
(8/24/2020)

Exams

State Security Law Exam

Series 63

Date: 2/12/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/28/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/2/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/1/2010

General Securities Representative Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BMO CAPITAL MARKETS CORP.

CRD#: 16686 / SEC#: 801-73047, 8-34344

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RESEARCH RELATED ACTIVITY (3/28/2025)

SUB ADVISOR (3/28/2025)

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

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.

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Firm Stability Insights

Walter A. Snickenberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Walter Alex Snickenberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/12/2010

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 6/28/2010

Series 55

Date: 3/2/2010

Series 7

Date: 2/1/2010

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BMO CAPITAL MARKETS CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BMO CAPITAL MARKETS CORP.

TRUST BUT VERIFY

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