James Matten
Professional summary
James Matten, who also goes by James Paul Matten, James Matten, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2019. James has worked at 14 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Matten's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2025 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036November 14, 2024 - December 10, 2024
BENJAMIN SECURITIES, INC.
July 23, 2021 - October 16, 2024
INGALLS & SNYDER, LLC
September 17, 2020 - June 17, 2021
WEBULL FINANCIAL LLC
September 12, 2019 - September 8, 2020
BGC FINANCIAL, L.P.
August 21, 2019 - May 27, 2020
CFWP SECURITIES, LLC
August 21, 2019 - September 8, 2020
SUNRISE BROKERS LLC
August 21, 2019 - September 8, 2020
MINT BROKERS
August 21, 2019 - September 8, 2020
GFI SECURITIES LLC
August 21, 2019 - September 8, 2020
FMX EXECUTION, LLC
August 21, 2019 - September 8, 2020
CF SECURED, LLC
August 21, 2019 - September 8, 2020
AQUA SECURITIES L.P.
August 21, 2019 - September 17, 2020
CASTLEOAK SECURITIES, LP
August 19, 2019 - September 8, 2020
CANTOR FITZGERALD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/20/2025)
Exams
Series 57TO
Date: 8/10/2021
Securities Trader ExamSeries 7TO
Date: 3/3/2020
General Securities Representative ExaminationSeries 99TO
Date: 8/19/2019
Operations Professional 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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