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Susan Bossmann Moloney

BMO Capital Markets Corp.

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About Susan Bossmann Moloney

Susan Moloney is a financial professional with over 30 years of experience in the industry. Susan has a strong track record of success in the financial services industry, having worked with several well-known firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Nomura Securities International, Inc., and Donaldson, Lufkin & Jenrette Securities Corporation. Susan currently works for BMO Capital Markets Corp. Susan holds a wide range of licenses and registrations, including Series 3, 7, 9, 63, 66, and SIE, demonstrating her commitment to professional development and expertise in financial markets. Susan is dedicated to providing clients with comprehensive financial guidance and personalized investment strategies.

Firm Information

Susan Moloney 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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Susan Moloney’s Registration & Firm History

AZ

09/01/2018 - Present

BMO Capital Markets Corp. (AVONDALE AZ)

AZ

05/01/2012 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (AVONDALE AZ)

AZ

04/28/2010 - 04/17/2012

STORMHARBOUR SECURITIES LP (GLENDALE AZ)

AZ

07/20/2009 - 04/26/2010

WEDBUSH SECURITIES INC. (GLENDALE AZ)

AZ

03/04/2008 - 12/18/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PHOENIX AZ)

IL

06/07/1996 - 07/21/2006

NOMURA SECURITIES INTERNATIONAL, INC. (CHICAGO IL)

NJ

02/04/1994 - 06/20/1996

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

NY

09/30/1993 - 01/20/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

07/31/1993 - 10/04/1993

SMITH BARNEY SHEARSON INC. (NEW YORK NY)

NY

09/08/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

01/29/1991 - 08/24/1992

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 03/10/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/10/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/01/2010

Series 9 - General Securities Sales Supervisor - Options Module 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 01/28/1991

Series 7 - General Securities Representative Examination

BC

Issued 09/08/1988

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Susan Bossmann Moloney.
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