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David Wayne Raff

BMO Capital Markets Corp.

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About David Wayne Raff

David Wayne Raff is a financial professional with over 19 years of experience in the industry. David is currently registered with BMO Capital Markets Corp. and holds the Series 7, Series 63, Series 79TO and SIE licenses. David has been registered with BMO Capital Markets Corp. since 2011. Prior to this, David was registered with MORGAN KEEGAN & COMPANY, INC. and Robert W. Baird & Co. Incorporated. David is registered to provide securities related services in 51 states. David is also registered as an Investment Advisor Representative (IAR) in Illinois and Maryland.

Firm Information

David Raff 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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David Raff’s Registration & Firm History

MD

09/21/2011 - Present

BMO Capital Markets Corp. (Bethesda MD)

VA

06/14/2011 - 09/16/2011

MORGAN KEEGAN & COMPANY, INC. (MCLEAN VA)

WI

05/14/2004 - 06/09/2011

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

MD

02/09/2004 - 05/19/2004

FERRIS, BAKER WATTS INCORPORATED (BALTIMORE MD)

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Licenses & Designations

BC

Issued 01/12/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/06/2004

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 David Wayne Raff.
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