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Robert Patrick Carroll

BMO Capital Markets Corp.

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About Robert Patrick Carroll

Robert Carroll has been in the securities industry since October 7, 2005. Robert Carroll is a registered representative with BMO Capital Markets Corp., and is registered with the state of New York. Robert Carroll has passed several exams, including the Series 7, Series 55, Series 57TO and Series 99TO. Robert Carroll was formerly employed with BMO NESBITT BURNS TRADING CORP. S.A.. BMO Capital Markets Corp. is a broker-dealer that provides investment advisory services to individuals, pooled investment vehicles and investment companies. BMO Capital Markets Corp. has a client count of 113 and has an approximate asset amount of $10 billion - $50 billion.

Firm Information

Robert Carroll 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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Robert Carroll’s Registration & Firm History

NY

10/07/2005 - Present

BMO Capital Markets Corp. (New York NY)

NY

02/21/2012 - 03/19/2012

BMO NESBITT BURNS TRADING CORP. S.A. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/24/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/30/2010

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/06/2005

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 Robert Patrick Carroll.
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