SECUnited StatesTier 1Licence number
No number recorded
View licence record- Licence holder
- Held by BMO Capital Markets
- Licence type and regime
- Dealing in securities
Not checkedUpdated
At a glance
Regulation on record for BMO Capital Markets
Counts of what is on record, not a rating. Each figure describes the register entries Wikilix holds and the checks it has run against them.
- Licences on record
- 4
- Issuing authorities
- 4
- From tier-1 or tier-2 authorities
- 4
- Found on an official register
- 0
BMO Capital Markets has 4 licences on record with Wikilix, issued by 4 authorities across 4 jurisdictions. 4 of them were issued by tier-1 or tier-2 authorities — the regimes with the strictest capital, reporting and client-money rules. None has yet been located on an issuing authority’s own register, so every entry here should be read as claimed rather than confirmed.
Issuing authorities
Jurisdictions
Licence record
Licences on record
Every licence on record for BMO Capital Markets, strongest authority first.
4 records
- SECUnited StatesTier 1
FSAJapanTier 1Licence number
No number recorded
View licence record- Licence holder
- Held by BMO Capital Markets
- Licence type and regime
- Dealing in securities
Not checkedUpdated
ASICAustraliaTier 1Licence number
430135
View licence record- Licence holder
- Held by BMO Capital Markets
- Licence type and regime
- Financial Service
Not checkedUpdated
FCAUnited KingdomTier 1Licence number
170937
View licence record- Licence holder
- Held by BMO Capital Markets
- Licence type and regime
- Investment Advisory License
Not checkedUpdated
Protection
What this licence protects
SEC's own rules for the firms it authorises.
- Compensation schemeSIPC insures up to $500,000 per customer (including $250,000 cash)
- Complaints routeSEC Tips/Complaints/Referral
- Maximum leverage1:50
Frequently Asked Questions
Questions about the licences held by BMO Capital Markets
Answered from the register entries on this page.
Most Popular Questions
BMO Capital Markets offers customer support via phone and live chat during business hours, with support available in English. They maintain social media presence on Facebook, LinkedIn, and YouTube. The main contact phone number is +1 844-837-9228, and their office address is 3 Times Square, New York, NY 10036, USA.
The highest leverage offered by BMO Capital Markets varies by jurisdiction, with up to 30:1 under the UK FCA, 28:1 under ASIC in Australia, and 25:1 under Japan's FSA. Leverage availability depends on the regulatory environment and the type of financial instrument traded. Specific leverage details for account types are not specified in the provided context.
BMO Capital Markets supports several funding methods including bank transfers, credit cards, e-wallets, cheque deposits, electronic funds transfer (EFT), and cryptocurrency deposits. Deposit fees are generally zero, but withdrawal fees range from 5 to 10 USD or equivalent. Processing times vary from instant for credit cards and e-wallets to several days for bank transfers and cheques.
BMO Capital Markets is regulated by top-tier authorities including the UK's FCA, Australia's ASIC, and Japan's FSA. These regulators enforce strict standards such as client fund segregation and provide complaint mechanisms like the Financial Ombudsman Service. BMO offers client fund insurance up to £85,000 in the UK and adheres to high transparency and regulatory indexes.
BMO Capital Markets has 4 licence records with Wikilix, issued by 4 authorities across 4 jurisdictions. A licence on record means an authority published an entry; it is not an endorsement, and Wikilix does not issue authorisations.
BMO Capital Markets holds licence records issued by SEC, FSA, ASIC, FCA. Each authority’s own record — its tier, jurisdiction and client-protection rules — is linked from this page.
4 of the licence records held by BMO Capital Markets come from tier-1 or tier-2 authorities (4 tier-1, 0 tier-2). Those regimes set the strictest capital, reporting and client-money requirements.
Not yet. None of the 4 licence records held by BMO Capital Markets has been located on an issuing authority’s register, so each should be read as claimed rather than confirmed. Every record links to the official register so you can check it yourself.
BMO Capital Markets has licence records in United States, Japan, Australia, United Kingdom. A licence applies in the jurisdiction that issued it; it does not by itself cover clients elsewhere.