Robert P. Seery
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Patrick Seery was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 10, Series 9, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2018 - July 26, 2019
BMO CAPITAL MARKETS CORP.
March 29, 2011 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
September 23, 2008 - May 17, 2010
RAFFERTY CAPITAL MARKETS, LLC
November 17, 2003 - September 15, 2006
IATMARKETS LLC
December 6, 1991 - November 12, 2002
SMBC NIKKO SECURITIES AMERICA, INC.
August 23, 1988 - October 16, 1991
COMMERZBANK CAPITAL MARKETS CORP.
July 29, 1987 - March 14, 1988
COPELAND SECURITIES INCORPORATED
July 2, 1982 - June 1, 1987
MILLER TABAK HIRSCH & CO.
April 7, 1982 - September 27, 1982
BURGESS ALLISON CAPITAL MARKETS
October 30, 1978 - June 16, 1982
O'NEILL & FELDMAN, INC.
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 40
Date: 10/16/1978
Registered Principal ExaminationF04
Date: 10/2/1978
Financial Principal ExaminationCurrent 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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