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Keith Frances Bachman

BMO Capital Markets Corp.

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About Keith Frances Bachman

Keith Frances Bachman is a financial professional with over 20 years of experience in the industry. Keith is currently registered with BMO Capital Markets Corp. and has previously held positions at BANC OF AMERICA SECURITIES LLC and ABN AMRO INCORPORATED. Keith is licensed to provide financial advice in all 50 states and holds several industry licenses including the Series 7, Series 24, Series 63, Series 87 and the SIE. Keith's experience spans a range of financial services, including investment management for pooled investment vehicles.

Firm Information

Keith Bachman 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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Keith Bachman’s Registration & Firm History

NY

06/27/2007 - Present

BMO Capital Markets Corp. (New York NY)

NY

10/24/2003 - 06/22/2007

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

CT

07/25/2000 - 04/11/2002

ABN AMRO INCORPORATED (STAMFORD CT)

CA

07/20/1999 - 07/13/2000

W.R. HAMBRECHT + CO., LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 02/04/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/10/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/29/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Keith Frances Bachman.
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