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Earl Gerard Rix

BMO Capital Markets Corp.

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About Earl Gerard Rix

Earl Gerard Rix is a registered representative with BMO Capital Markets Corp. in New York, NY. Earl has been in the securities industry since March 4, 1987. Prior to joining BMO Capital Markets Corp., Earl was a registered representative at KGS-ALPHA CAPITAL MARKETS, L.P. and Miller Tabak Roberts Securities, LLC. Earl has a Series 63, Series 5, and Series 7 license and has been registered in 52 states.

Firm Information

Earl Rix 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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Earl Rix’s Registration & Firm History

NY

09/01/2018 - Present

BMO Capital Markets Corp. (New York NY)

NY

05/24/2010 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (NEW YORK NY)

NY

05/01/2009 - 05/14/2010

MILLER TABAK ROBERTS SECURITIES, LLC (NEW YORK NY)

NY

05/23/2005 - 09/24/2008

PIPER JAFFRAY & CO. (NEW YORK NY)

NY

03/25/2003 - 06/01/2005

SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)

CT

08/09/1999 - 03/18/2003

ABN AMRO INCORPORATED (STAMFORD CT)

NY

12/01/1998 - 08/12/1999

DESCAP SECURITIES, INC. (NEW YORK NY)

NY

08/04/1992 - 12/15/1997

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

09/21/1983 - 09/25/1990

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/09/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/1983

Series 5 - Interest Rate Options Examination

BC

Issued 09/17/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Earl Gerard Rix.
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