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James Robert Baggio

BMO Capital Markets Corp.

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About James Robert Baggio

James Robert Baggio has been in the financial industry since February 12, 2004. Currently, James is a Registered Representative at BMO Capital Markets Corp. with an active Branch Office location in New York, NY. Previously, James worked at Harris Nesbitt Corp. and Gerard Klauer Mattison & Co., Inc., both in New York, NY. James is licensed in New York and has passed several industry exams including Series 7, Series 24, Series 55, Series 3, Series 57TO and Series 63. James has been affiliated with BMO Capital Markets Corp. since June 2, 2006.

Firm Information

James Baggio 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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James Baggio’s Registration & Firm History

NY

06/02/2006 - Present

BMO Capital Markets Corp. (New York NY)

NY

01/02/2003 - 06/09/2004

HARRIS NESBITT CORP. (NEW YORK NY)

NY

12/19/2001 - 10/30/2002

GERARD KLAUER MATTISON & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/04/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/02/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2013

Series 3 - National Commodity Futures Examination

BC

Issued 05/06/2009

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/18/2001

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 EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, 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 James Robert Baggio.
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