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Shawn Ulrich Oxenham

BMO Capital Markets Corp.

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About Shawn Ulrich Oxenham

Shawn Ulrich Oxenham is a financial professional with over 23 years of experience in the industry. Shawn has a wide range of experience having worked at firms such as Credit Suisse Securities (USA) LLC, Lehman Brothers Inc., and Charles Schwab & Co., Inc. Shawn currently works at BMO Capital Markets Corp. Shawn is licensed to provide investment advice in all states of the U.S. and has a strong track record of providing financial guidance and investment strategies to clients. Shawn is committed to helping clients achieve their financial goals and is dedicated to providing personalized attention and exceptional service.

Firm Information

Shawn Oxenham 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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Shawn Oxenham’s Registration & Firm History

CA

01/31/2014 - Present

BMO Capital Markets Corp. (SAN FRANCISCO CA)

CA

07/25/2008 - 02/14/2014

CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)

CA

11/01/2006 - 07/25/2008

LEHMAN BROTHERS INC. (SAN FRANCISCO CA)

CA

09/07/2000 - 11/15/2006

CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 12/04/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2016

Series 24 - General Securities Principal Examination

BC

Issued 11/07/2023

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/05/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Chicago, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Shawn Ulrich Oxenham.
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