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Vivek Baliga

BMO Capital Markets Corp.

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About Vivek Baliga

Vivek Baliga is a registered representative with BMO Capital Markets Corp. Vivek has over 13 years of experience in the financial services industry and has held previous roles with KGS-ALPHA Capital Markets, L.P., Pierpont Securities LLC, Cortview Capital Securities LLC, BGC Financial, L.P. and J.P. Morgan Institutional Investments Inc. Vivek is licensed to sell securities in 53 states and holds the Series 7 and Series 63 licenses. Vivek is also a member of FINRA.

Firm Information

Vivek Baliga 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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Vivek Baliga’s Registration & Firm History

NY

09/01/2018 - Present

BMO Capital Markets Corp. (New York NY)

NY

11/10/2014 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (NEW YORK NY)

NY

03/01/2013 - 10/10/2014

PIERPONT SECURITIES LLC (NEW YORK NY)

NY

03/21/2011 - 03/07/2013

CORTVIEW CAPITAL SECURITIES LLC (NEW YORK NY)

NY

05/07/2009 - 03/18/2011

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

09/26/2008 - 11/03/2008

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)

NY

06/12/2008 - 09/29/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/06/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/11/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Vivek Baliga.
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