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KC

Karen M. Copeland

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CRD#: 6007069
KC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Karen Margaret Copeland was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 2012. Karen had worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2013 - August 15, 2019

BMO NESBITT BURNS SECURITIES LTD.

BD
CRD#: 44057
TORONTO, ONTARIO,
Past

September 9, 2013 - September 23, 2019

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
TORONTO,
Past

June 20, 2012 - September 9, 2013

BMO NESBITT BURNS SECURITIES LTD.

BD
CRD#: 44057
TORONTO, ONTARIO,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 6/19/2012
Operations Professional Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BMO NESBITT BURNS INC.PARENT OF BMO NESBITT BURNS SECURITIES LTD.
BROWN, WILLIAM A LDIRECTOR3144046
FERMAN, BRUCE AARONCHAIRMAN OF THE BOARD6304645
GIGLIOTTI, STEPHEN MICHAELCHIEF COMPLIANCE OFFICER3063688
LAKE, STEPHANIE ANNDIRECTOR5845009
NARINE, IAN KENNETHCHIEF FINANCIAL OFFICER7570073
PERSAUD, DEVANAND NMNPRESIDENT4779881
RIGANTE, MAURODIRECTOR8124545

Disclosures

Regulatory Event1

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.

Company Information

BMO NESBITT BURNS SECURITIES LTD.

CRD#: 44057

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