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Francis John Matten

BMO Capital Markets Corp.

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About Francis John Matten

Francis John Matten is an experienced financial professional who is registered with BMO Capital Markets Corp. in New York, NY. Francis has a strong track record in the industry, with previous experience at Wolfe Research Securities and Credit Suisse Securities (USA) LLC. Francis is licensed to provide financial advice in New York and holds multiple professional licenses, including Series 63, Series 7, Series 86 and Series 87. Francis has demonstrated expertise in providing investment advice for pooled investment vehicles.

Firm Information

Francis Matten 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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Francis Matten’s Registration & Firm History

NY

01/05/2023 - Present

BMO Capital Markets Corp. (New York NY)

NY

06/22/2021 - 01/03/2023

WOLFE RESEARCH SECURITIES (New York NY)

NY

08/06/2018 - 07/15/2021

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

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Licenses & Designations

BC

Issued 08/10/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2018

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/20/2018

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/06/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

New York Stock Exchange

Disclosures

There are no public disclosures for Francis John Matten.
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