RL
Richard J. Lawrence
BMO NESBITT BURNS SECURITIES LTD.
Toronto, Ontario, M5X IH3
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CRD#: 6034225
RL
Professional summary
Richard John Lawrence is a registered financial professional currently at BMO NESBITT BURNS SECURITIES LTD. .
Richard is registered as a RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 1 firm and has passed the Series 63, SIE and Series 37 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 Richard John Lawrence'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
June 20, 2012 - Present
BMO NESBITT BURNS SECURITIES LTD.
Office #1: 1 First Canadian Place 40th Floor, Toronto, Ontario, M5X IH3BD
CRD#: 44057
Toronto, Ontario,
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
Alaska(10/1/2021)
RR
Arizona(6/11/2021)
RR
California(5/10/2016)
RR
Colorado(2/19/2025)
RR
Connecticut(9/7/2022)
RR
Florida(5/2/2017)
RR
Georgia(8/15/2022)
RR
Maryland(9/7/2022)
RR
Massachusetts(10/6/2017)
RR
Minnesota(9/7/2022)
RR
Nevada(1/5/2023)
RR
New York(5/31/2017)
RR
North Carolina(9/7/2022)
RR
Ohio(7/5/2023)
RR
Oregon(4/10/2024)
RR
South Carolina(9/7/2022)
RR
Texas(6/11/2021)
RR
Utah(4/11/2025)
RR
Virginia(9/7/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 37
Date: 6/19/2012
Canada Module of the General Securities Registered Representative (With 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#: 44057Toronto, Ontario, M5X IH3TRUST BUT VERIFY
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