Chief Compliance Officer · BMO Nesbitt Burns Securities LTD.
Stephen M. Gigliotti
CRD 3063688 · Named on Form ADV at one SEC-registered adviser
At a glance
BMO Nesbitt Burns Securities LTD., an SEC-registered broker-dealer firm based in Toronto, Ontario, Canada with $1.2 billion in regulatory assets, lists Stephen M. Gigliotti on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- BMO Nesbitt Burns Securities LTD.Chief Compliance OfficerBroker-dealer firm · Toronto, Ontario, Canada · $1.2B in regulatory assets
AtlasMembers
Stephen’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2003 (23 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Stephen’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 4 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (6)
- William A. BrownDirector, BMO Nesbitt Burns Securities LTD.
- Bruce A. FermanChairman of the Board, BMO Nesbitt Burns Securities LTD.
- Devanand N. PersaudPresident, BMO Nesbitt Burns Securities LTD.
- Ian K. NarineCFO, BMO Nesbitt Burns Securities LTD.
- Stephanie A. LakeDirector, BMO Nesbitt Burns Securities LTD.
1 more person named with Stephen on the same filings, with titles and firms. Free in Atlas with a free account.
See all 6 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Stephen’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.