John Dauphin
Professional summary
John Dauphin is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in Chicago, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 2014. John has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Dauphin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 24, 2026 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 320 South Canal Street, Chicago, IL 60606December 17, 2019 - February 1, 2023
BNP PARIBAS SECURITIES CORP.
December 2, 2014 - March 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 12/17/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
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 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
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
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Company Information
BMO CAPITAL MARKETS CORP.
CRD#: 16686Chicago, IL 60606TRUST BUT VERIFY
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