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Bobby Jay Uy

BMO Capital Markets Corp.

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About Bobby Jay Uy

Bobby Jay Uy is a financial professional with over 18 years of experience in the industry. Bobby Jay Uy is currently registered with BMO Capital Markets Corp. and has been with the firm since June 2021. Previously, Bobby Jay Uy was employed with SANFORD C. BERNSTEIN & CO., LLC, CREDIT SUISSE SECURITIES (USA) LLC, and BLOOMBERG TRADEBOOK LLC. Bobby Jay Uy holds FINRA Series 3, 7, 55, 57TO, and 63 licenses as well as the SIE.

Firm Information

Bobby Uy 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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Bobby Uy’s Registration & Firm History

NY

06/02/2021 - Present

BMO Capital Markets Corp. (New York NY)

NY

11/11/2009 - 06/10/2021

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

09/25/2006 - 11/10/2009

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

04/09/2004 - 09/15/2006

BLOOMBERG TRADEBOOK LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/10/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/25/2013

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/09/2006

Series 3 - National Commodity Futures Examination

BC

Issued 04/08/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Bobby Jay Uy.
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