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Alan Tannenbaum

BMO Capital Markets Corp.

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About Alan Tannenbaum

Alan Tannenbaum is a financial professional with over 27 years of experience in the securities industry. Alan is currently registered with BMO Capital Markets Corp. and holds a variety of licenses and certifications including Series 7, Series 10, Series 24, Series 57TO, and Series 79. Alan has previously been employed by Lehman Brothers Inc. and AFIN Securities International, LTD. Alan specializes in Portfolio Management for Pooled Investment Vehicles. Alan is registered to provide investment advice in 53 states and jurisdictions.

Firm Information

Alan Tannenbaum is currently registered with BMO Capital Markets Corp.. BMO Capital Markets Corp. is a Corporation headquartered in NEW YORK, NY. Founded in March 1988, the firm has a broad reach with state-level registrations in all 50 states plus Puerto Rico and the Virgin Islands. It offers investment advisory services, including portfolio management for pooled investment vehicles, and holds approximately $10 billion - $50 billion in assets. BMO Capital Markets Corp. primarily serves investment companies and pooled investment vehicles, with a total of 113 clients and $796,416,350 in regulatory assets under management.
BMO Capital Markets Corp.

151 WEST 42ND STREET

NEW YORK, NY 10036

$796.42M

Assets Under Management

113

Total Clients

178

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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provision of securities trading ideas and research

Provision of securities trading ideas and research

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fees for securities trading ideas and research

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Alan Tannenbaum’s Registration & Firm History

NY

03/31/2010 - Present

BMO Capital Markets Corp. (New York NY)

NY

09/30/1998 - 05/24/2006

LEHMAN BROTHERS INC. (NEW YORK NY)

TX

06/25/1997 - 09/24/1998

AFIN SECURITIES INTERNATIONAL, LTD. (HOUSTON TX)

NY

04/28/1993 - 05/20/1997

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

08/12/1991 - 04/26/1993

JAMES CAPEL INCORPORATED

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Licenses & Designations

BC

Issued 11/08/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/14/2010

Series 24 - General Securities Principal Examination

BC

Issued 07/26/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/19/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/07/2018

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 03/30/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alan Tannenbaum.
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