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JS

Joseph B. Simoneau

BMO CAPITAL MARKETS
New York, NY 10036
Some features on this profile are disabled
CRD#: 6067925
JS

Professional summary

Joseph Brian Simoneau, who also goes by Joseph Simoneau, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2013. Joseph has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Simoneau

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 Joseph Brian Simoneau'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 4, 2025 - Present

BMO CAPITAL MARKETS CORP.

Office #1: 151 West 42nd St, New York, NY 10036
BD
CRD#: 16686
New York, NY
Past

July 20, 2015 - June 6, 2025

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 6, 2013 - May 19, 2015

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT

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
Illinois
(8/4/2025)
RR
New York
(8/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/6/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/4/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

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)

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

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

NamePositionCRD#
BMO FINANCIAL CORP.SHAREHOLDER
BRICKLEY, THOMAS JOHNFINANCIAL AND OPERATIONS PRINCIPAL3028843
ESTEY, WARREN FRANCISMANAGING DIRECTOR, INVESTMENT BANKING3114183
FORLENZA, MICHAELHEAD, CHIEF OPERATING OFFICER5886049
KAHRAMAN, LEVENTMANAGING DIRECTOR, GLOBAL MARKETS2802822
WOODWARD, JOEL EDWARDCHIEF FINANCIAL OFFICER5467904
YUKILEVICH, DANIELCHIEF COMPLIANCE OFFICER5635481

Regulatory assets under management

Total Number of Accounts4
AUM (Assets Under Management)$ 1,210,751,477

Disclosures

Regulatory Event46
Civil 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 CAPITAL MARKETS CORP.

CRD#: 16686New York, NY 10036

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