linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Nicholas J Roccanova

BMO Capital Markets Corp.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Nicholas? Claim Your Profile

About Nicholas J Roccanova

Nicholas Roccanova is a financial professional with over 20 years of experience in the industry. Nicholas is currently registered with BMO Capital Markets Corp., where he is a licensed representative. Nicholas was previously registered with Oppenheimer & Co. Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicholas holds a variety of licenses, including Series 7, Series 55, Series 63, Series 87, SIE and Series 57TO. Nicholas specializes in portfolio management for pooled investment vehicles. Nicholas has a long history of working with clients and firms to achieve their financial goals.

Firm Information

Nicholas Roccanova 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.

check

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.

check

percentage of assets

A percentage of the total value of assets under management is charged.

check

other

Fees for securities trading ideas and research

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Nicholas Roccanova’s Registration & Firm History

NY

03/12/2012 - Present

BMO Capital Markets Corp. (New York NY)

NY

03/11/2009 - 02/21/2012

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

11/18/2004 - 03/20/2009

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

NY

04/16/1997 - 03/01/2002

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

Not sure if Nicholas J Roccanova is right for you?

Licenses & Designations

IA

Issued 08/23/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/17/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/23/2007

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/18/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/17/2004

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 Nicholas J Roccanova.
Not sure if Nicholas J Roccanova is right for you?