Nicholas Unan
Professional Summary
Nicholas Unan is a registered financial advisor currently at BMO CAPITAL MARKETS CORP. located in Seattle, Washington. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2013. Nicholas has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
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.
Contact Information
Main Address
151 West 42nd Street, New York, NY 10036Mailing Address
151 West 42nd Street, New York, NY 10036Phone Number
(212) 702-1101Established
Delaware since 03/28/1988Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,275FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
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 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory Assets Under Management
Total Number of Accounts
4AUM (Assets Under Management)
$1,210,751,477Disclosures
Regulatory Event
46Civil Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Sep 2021About the Series 79TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Oct 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas Unan's CRS (Customer Relationship Summary).
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