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Marianne Sullivan

BMO Capital Markets Corp.

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About Marianne Sullivan

Marianne Sullivan is a registered representative with BMO Capital Markets Corp. She has been in the industry since April 30, 2021. Marianne has passed the Series 99TO and SIE exams. Prior to joining BMO Capital Markets Corp., Marianne was employed by Cowen and Company. She has specialized in Portfolio Management for Pooled Investment Vehicles.

Firm Information

Marianne Sullivan 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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Marianne Sullivan’s Registration & Firm History

NY

07/29/2022 - Present

BMO Capital Markets Corp. (New York NY)

FL

04/30/2021 - 07/28/2022

COWEN AND COMPANY (LAKE MARY FL)

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Licenses & Designations

BC

Issued 04/30/2021

Series 99TO - Operations Professional Examination

BC

Issued 11/11/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Marianne Sullivan. Review regulatory record here.
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