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Mark Spadaccini

BMO Capital Markets Corp.

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About Mark Spadaccini

Mark Spadaccini is a financial professional with over 15 years of experience in the securities industry. He is currently registered with BMO Capital Markets Corp. and has previously worked for UBS Securities LLC, Barclays Capital Inc., and Lehman Brothers Inc. Mark holds multiple securities licenses, including Series 7, 24, 63, 79 and SIE. His professional expertise includes investment banking and general securities. He is licensed to provide securities advice and services in all 50 states.

Firm Information

Mark Spadaccini 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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Mark Spadaccini’s Registration & Firm History

NY

05/12/2018 - Present

BMO Capital Markets Corp. (New York NY)

NY

11/10/2008 - 03/19/2018

UBS SECURITIES LLC (NEW YORK NY)

NY

09/22/2008 - 10/16/2008

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

11/22/2006 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/20/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/07/2018

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 11/21/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mark Spadaccini.
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