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Kevin Sherlock

BMO Capital Markets Corp.

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About Kevin Sherlock

Kevin Sherlock is a registered representative with BMO Capital Markets Corp., a broker-dealer based in New York, New York. Kevin has over 20 years of experience in the securities industry and holds FINRA Series 7, 24, 63 and SIE licenses. Kevin is also a registered principal. Kevin previously worked at BOFA Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Deutsche Bank Securities Inc. Kevin's current focus is in Investment Banking. Kevin is registered in all 50 states.

Firm Information

Kevin Sherlock 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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Kevin Sherlock’s Registration & Firm History

NY

07/14/2023 - Present

BMO Capital Markets Corp. (New York NY)

NY

05/10/2019 - 06/21/2023

BOFA SECURITIES, INC. (NEW YORK NY)

NY

08/05/2014 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

02/04/2003 - 06/25/2014

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/20/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/15/2008

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/03/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kevin Sherlock.
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