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Seth Andrew Prostic

BMO Capital Markets Corp.

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About Seth Andrew Prostic

Seth Prostic is a financial professional with over 23 years of experience in the industry. Seth is currently registered with BMO Capital Markets Corp. Prior to joining BMO Capital Markets Corp., Seth was employed by HARRIS NESBITT CORP. and LAZARD FRERES & CO. LLC. Seth is registered in 51 states and holds multiple industry licenses including Series 7, Series 24, and Series 79TO. Seth also holds a Series 63 license and a SIE license. Seth's firm has an approximate total of $10 billion - $50 billion in assets under management and specializes in providing portfolio management for pooled investment vehicles.

Firm Information

Seth Prostic 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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Seth Prostic’s Registration & Firm History

IL

11/01/2003 - Present

BMO Capital Markets Corp. (CHICAGO IL)

IL

08/31/2001 - 11/01/2003

HARRIS NESBITT CORP. (CHICAGO IL)

NY

09/22/1999 - 04/26/2001

LAZARD FRERES & CO. LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/08/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/03/2019

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 09/17/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Chicago, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Seth Andrew Prostic.
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