DG
Derek G. Graham
BMO NESBITT BURNS SECURITIES LTD.
Oakville, L6H 6K8
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CRD#: 5828866
DG
Professional summary
Derek Glenn Graham is a registered financial professional currently at BMO NESBITT BURNS SECURITIES LTD. .
Derek is registered as a RR (Registered Representative) and started their career in finance in 2010. Derek has worked at 1 firm and has passed the Series 63, SIE and Series 38 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 Derek Glenn Graham'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
November 4, 2010 - Present
BMO NESBITT BURNS SECURITIES LTD.
Office #1: 360 Oakville Place Drive 2nd Floor, Oakville, L6H 6K8BD
CRD#: 44057
Oakville,
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
California(11/26/2010)
RR
Florida(7/19/2013)
RR
Georgia(8/30/2017)
RR
Iowa(1/3/2013)
RR
New Jersey(2/19/2019)
RR
New York(9/4/2018)
RR
North Carolina(4/11/2022)
RR
Pennsylvania(4/21/2017)
RR
South Carolina(6/28/2023)
RR
Virginia(4/15/2019)
RR
Washington(7/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 38
Date: 11/2/2010
Canada Module of the General Securities Registered Representative (Without Options Questions)SRO Registrations
RR
FINRA
Current Firm
BN
BMO NESBITT BURNS SECURITIES LTD.
BMO CAPITAL MARKETS/BMO MARCHES DES CAPITAUX | NESBITT BURNS SECURITIES LTD. | BMO NESBITT BURNS VALEURS MOBILIERES LTEE | BMO NESBITT BURNS SECURITIES LTD.
CRD#: 44057 / SEC#: , 8-50538
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
C/o Legal Dept. 9th Floor 1 First Canadian Place M5x 1a1, Toronto, Ontario, M5X 1A1
Mailing Address
320 South Canal Street Floor 7, Chicago, IL 60606
Phone number
(312) 461-3918
Established
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO NESBITT BURNS INC. | PARENT OF BMO NESBITT BURNS SECURITIES LTD. | |
| BROWN, WILLIAM A L | DIRECTOR | 3144046 |
| FERMAN, BRUCE AARON | CHAIRMAN OF THE BOARD | 6304645 |
| GIGLIOTTI, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 3063688 |
| LAKE, STEPHANIE ANN | DIRECTOR | 5845009 |
| NARINE, IAN KENNETH | CHIEF FINANCIAL OFFICER | 7570073 |
| PERSAUD, DEVANAND NMN | PRESIDENT | 4779881 |
| RIGANTE, MAURO | DIRECTOR | 8124545 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
BMO NESBITT BURNS SECURITIES LTD.
CRD#: 44057Oakville, L6H 6K8TRUST BUT VERIFY
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