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Austin I Derris

BMO Capital Markets Corp.

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About Austin I Derris

Austin Derris is a financial professional with over 15 years of experience in the industry. Austin has been registered with BMO Capital Markets Corp. since 2015, having previously held positions at RBS Securities Inc., Janney Montgomery Scott LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Austin has a broad range of experience and holds licenses to provide investment advice and trade securities in all 50 states. Austin specializes in providing portfolio management for pooled investment vehicles, and securities trading ideas and research.

Firm Information

Austin Derris 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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Austin Derris’s Registration & Firm History

MA

07/22/2015 - Present

BMO Capital Markets Corp. (BOSTON MA)

MA

04/28/2010 - 04/01/2015

RBS SECURITIES INC. (BOSTON MA)

MA

10/02/2009 - 04/20/2010

JANNEY MONTGOMERY SCOTT LLC (BOSTON MA)

NY

10/16/2006 - 03/30/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 03/05/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/21/2024

Series 30 - NFA Branch Manager Examination

BC

Issued 01/16/2024

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Austin I Derris.
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