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Stephanie L. Nguyen
BMO CAPITAL MARKETS
Toronto, M5X1H3
Some features on this profile are disabled
CRD#: 6042701
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Professional summary
Stephanie Loi Nguyen, who also goes by Stephanie Loi Ly, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. .
Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2012. Stephanie has worked at 2 firms and has passed the Series 63, SIE and Series 38 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephanie Loi Ly
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 Stephanie Loi Nguyen'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
September 9, 2013 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 100 King Street West, Toronto, M5X1H3BD
CRD#: 16686
Toronto,
Past
May 28, 2012 - September 9, 2013
BMO NESBITT BURNS SECURITIES LTD.
BD
CRD#: 44057
TORONTO, ONTARO,
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
Alabama(1/18/2023)
RR
Alaska(1/18/2023)
RR
Arizona(1/18/2023)
RR
Arkansas(1/18/2023)
RR
California(9/9/2013)
RR
Colorado(1/18/2023)
RR
Connecticut(9/9/2013)
RR
Delaware(1/18/2023)
RR
District of Columbia(1/18/2023)
RR
Florida(4/21/2016)
RR
Georgia(1/18/2023)
RR
Hawaii(1/18/2023)
RR
Idaho(1/18/2023)
RR
Illinois(9/9/2013)
RR
Indiana(1/18/2023)
RR
Iowa(1/18/2023)
RR
Kansas(1/18/2023)
RR
Kentucky(1/18/2023)
RR
Louisiana(1/18/2023)
RR
Maine(1/18/2023)
RR
Maryland(1/18/2023)
RR
Massachusetts(9/9/2013)
RR
Michigan(1/18/2023)
RR
Minnesota(1/18/2023)
RR
Mississippi(1/18/2023)
RR
Missouri(1/18/2023)
RR
Montana(1/18/2023)
RR
Nebraska(1/18/2023)
RR
Nevada(1/18/2023)
RR
New Hampshire(1/18/2023)
RR
New Jersey(1/18/2023)
RR
New Mexico(1/18/2023)
RR
New York(9/9/2013)
RR
North Carolina(1/18/2023)
RR
North Dakota(1/18/2023)
RR
Ohio(1/18/2023)
RR
Oklahoma(1/18/2023)
RR
Oregon(1/18/2023)
RR
Pennsylvania(1/18/2023)
RR
Rhode Island(1/18/2023)
RR
South Carolina(1/18/2023)
RR
South Dakota(1/18/2023)
RR
Tennessee(1/18/2023)
RR
Texas(8/3/2017)
RR
Utah(1/18/2023)
RR
Vermont(1/18/2023)
RR
Virginia(1/18/2023)
RR
Washington(1/18/2023)
RR
West Virginia(1/18/2023)
RR
Wisconsin(1/18/2023)
RR
Wyoming(1/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 38
Date: 5/25/2012
Canada Module of the General Securities Registered Representative (Without Options Questions)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
BD
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)
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.
