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Nicholas Unan

BMO Capital Markets Corp.

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About Nicholas Unan

Nicholas Unan is a registered representative with BMO Capital Markets Corp. Nicholas has been in the securities industry since 2013. Nicholas holds Series 63, Series 79TO, and Series 79 licenses and is registered to sell securities in 50 states and the District of Columbia. Nicholas previously worked at Cascada Capital, LLC in Seattle, WA. BMO Capital Markets Corp. is a broker-dealer headquartered in New York, NY that manages over $10 billion in assets. BMO Capital Markets Corp. provides securities trading ideas, research, and portfolio management for pooled investment vehicles.

Firm Information

Nicholas Unan 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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Nicholas Unan’s Registration & Firm History

WA

09/28/2021 - Present

BMO Capital Markets Corp. (Seattle WA)

WA

10/24/2013 - 02/15/2017

CASCADIA CAPITAL, LLC (SEATTLE WA)

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Licenses & Designations

BC

Issued 10/22/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/28/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 08/20/2021

SIE - Securities Industry Essentials Examination

BC

Issued 10/23/2013

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Unan.
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