CRD #16686 · FINRA BrokerCheck + SEC IAPD

BMO Capital Markets Corp.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BMO Capital Markets Corp. ranks #106 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #23 of 868 on the same disclosure sort used on the state browse page. BMO Capital Markets Corp. carries 47 BrokerCheck disclosures across 25 branch offices - elevated load for a mid-sized firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
25
branch offices
47
disclosures
#106 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16686 BMO Capital Markets Corp.

BMO Capital Markets Corp. · Grade D · 47 disc · 1.88/office · Mid-sized firm

  • CRD 16686
  • GRADE D
  • DISC 47
  • REG 46
  • ARB 0
  • CIV 1
  • BRANCH 25
  • PER-OFF 1.88
  • RANK #106 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Wells Fargo Securities, LLC (1.93 disc/office)

Wells Fargo Securities,…1.93Pruco Securities, LLC.1.54Robinhood Financial, LLC2.24BMO Capital Markets… (this)1.88
Disclosures per office among mid-sized firm peers (lower is cleaner)

BMO Capital Markets Corp. ranks #106 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.88 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

25 offices

FINRA: Large firm

Total disclosures

47 events

On FINRA BrokerCheck

Regulatory events

46 actions

98% of all disclosures

Disclosures per office

1.88 per office

47 ÷ 25 offices

BMO Capital Markets Corp. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 15% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). This entry sits in this band. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 46
Arbitrations 0
Civil Events 1
Total 47

Counts for BMO Capital Markets Corp. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 46 Arbitration 0 Civil 1

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10036
Formed
03/28/1988
State of Formation
Delaware
CRD Number
16686
SEC Number
34344

Regulator-heavy mix

BMO Capital Markets Corp. in the heavier-disclosure third

BMO Capital Markets Corp. carries 47 BrokerCheck disclosures across 25 branch offices - a heavier-third raw book among graded firms (#106 of 20,055). Regulator-initiated events are 98% of the book (46 regulatory / 0 arbitration / 1 civil).

98% of BMO Capital Markets Corp.'s 47 disclosures are regulator-initiated (46 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of BMO Capital Markets Corp.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 5.37× state average

BMO Capital Markets Corp. sits above the New York disclosure average

BMO Capital Markets Corp. reports 47 BrokerCheck disclosures, 5.37× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does BMO Capital Markets Corp. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BMO Capital Markets Corp. ranks #106 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #23 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for BMO Capital Markets Corp.?
A grade of D reflects BMO Capital Markets Corp.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 47 total disclosures across 25 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does BMO Capital Markets Corp. have?
BMO Capital Markets Corp. has 47 total FINRA disclosures, including 46 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is BMO Capital Markets Corp.?
BMO Capital Markets Corp. operates 25 branch offices and is classified by FINRA as a large firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify BMO Capital Markets Corp.'s disciplinary record?
You can verify BMO Capital Markets Corp.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16686. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). BMO Capital Markets Corp.'s 47 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid BMO Capital Markets Corp. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. BMO Capital Markets Corp. carries 47 disclosures across 25 branch offices (about 1.88 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for BMO Capital Markets Corp., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Wells Fargo Securities, LLC (NC) - 1.93 disclosures/office, nearest mid-sized firm peer to BMO Capital Markets Corp.'s 1.88
  • Pruco Securities, LLC. (NJ) - 1.54 disclosures/office, nearest mid-sized firm peer to BMO Capital Markets Corp.'s 1.88
  • Robinhood Financial, LLC (FL) - 2.24 disclosures/office, nearest mid-sized firm peer to BMO Capital Markets Corp.'s 1.88
  • Firms in NY - state roster that includes BMO Capital Markets Corp.'s registration home.
  • Red Flags in Advisor Records - How to read BMO Capital Markets Corp.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 47 disclosures behind BMO Capital Markets Corp.'s Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as BMO Capital Markets Corp..
  • Compare firms - put BMO Capital Markets Corp. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.