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Roger A Grimming

BMO Capital Markets Corp.

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About Roger A Grimming

Roger Grimming is a financial professional with over 20 years of experience in the industry. Roger is currently registered with BMO Capital Markets Corp. Roger has also held previous roles at KGS-ALPHA CAPITAL MARKETS, L.P., MESIROW FINANCIAL, INC., BB&T SECURITIES, LLC, INCAPITAL LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, AMERICAN EXPRESS FINANCIAL ADVISORS INC. and IDS LIFE INSURANCE COMPANY. Roger is a Series 7 and Series 66 licensed professional.

Firm Information

Roger Grimming 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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Roger Grimming’s Registration & Firm History

FL

09/01/2018 - Present

BMO Capital Markets Corp. (Boca Raton FL)

FL

10/14/2014 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (Boca Ratn FL)

FL

05/01/2014 - 09/29/2014

MESIROW FINANCIAL, INC. (MIAMI FL)

FL

12/23/2013 - 05/05/2014

BB&T SECURITIES, LLC (BOCA RATON FL)

FL

09/10/2012 - 12/26/2013

INCAPITAL LLC (BOCA RATON FL)

FL

01/17/2003 - 09/12/2012

MESIROW FINANCIAL, INC. (FORT LAUDERDALE FL)

NY

01/29/2001 - 02/14/2002

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

MN

08/28/2000 - 12/15/2000

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

08/28/2000 - 12/15/2000

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 02/07/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/25/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roger A Grimming.
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