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Warren Francis Estey

BMO Capital Markets Corp.

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About Warren Francis Estey

Warren Estey is a registered representative with BMO Capital Markets Corp. and has been in the industry since 1998. Warren is licensed in 51 states and is also registered with FINRA. Warren holds a Series 63, Series 24, Series 79TO, SIE, and Series 62. Warren has previously worked at Deutsche Bank Securities Inc. and BT Alex. Brown Incorporated. BMO Capital Markets Corp. is a broker-dealer that provides investment banking, capital markets, and asset management services to corporations, governments, and institutions. The firm has approximately $10 billion to $50 billion in assets under management. Warren's current branch location is in New York, New York.

Firm Information

Warren Estey 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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Warren Estey’s Registration & Firm History

NY

01/21/2022 - Present

BMO Capital Markets Corp. (New York NY)

NY

06/14/1999 - 11/09/2021

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

09/09/1998 - 06/14/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

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Licenses & Designations

BC

Issued 05/10/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/07/2015

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 09/05/1998

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Warren Francis Estey.
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