Lois E. Schilling
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lois Elaine Schilling, who also goes by Lois D Schilling, Lois Deines Schilling, was a registered financial professional .
Lois is a previously registered financial professional and started their career in finance in 1969. Lois had worked at 6 firms and has passed the Series 66, Series 63, SIE and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2012 - December 31, 2018
WADDELL & REED
August 17, 2012 - December 31, 2018
WADDELL & REED
January 1, 2008 - August 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 17, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
April 26, 2001 - February 7, 2006
CITIGROUP GLOBAL MARKETS INC.
November 6, 1998 - February 7, 2006
CITIGROUP GLOBAL MARKETS INC.
May 7, 1993 - November 18, 1998
UBS FINANCIAL SERVICES INC.
September 4, 1990 - May 25, 1993
WELLS FARGO CLEARING SERVICES, LLC
November 1, 1969 - September 4, 1990
BOETTCHER & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 3/10/1995
AMEX Put and Call ExamCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
