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Harry Jay Lubin

BMO Capital Markets Corp.

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About Harry Jay Lubin

Harry Lubin is a financial professional with over 20 years of experience in the industry. Currently, Harry is a registered representative at BMO Capital Markets Corp. Harry has a broad range of experience in the financial services industry including time at Paloma Securities L.L.C., Nomura Securities International, Inc., Cathay Financial LLC, Charles Schwab & Co., Inc., and Shearson Lehman Hutton Inc. Harry is licensed in all 50 states.

Firm Information

Harry Lubin 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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Harry Lubin’s Registration & Firm History

NY

08/14/2015 - Present

BMO Capital Markets Corp. (New York NY)

NY

03/05/2008 - 07/06/2009

PALOMA SECURITIES L.L.C. (NEW YORK NY)

NY

06/23/1998 - 05/25/2006

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

05/05/1998 - 07/01/1998

CATHAY FINANCIAL LLC (NEW YORK NY)

TX

05/29/1990 - 03/22/1996

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

06/20/1989 - 10/19/1989

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/28/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/07/2023

Series 4 - Registered Options Principal Examination

BC

Issued 08/01/2022

Series 24 - General Securities Principal Examination

BC

Issued 05/20/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/14/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/22/2015

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/17/1989

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 Harry Jay Lubin.
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