Carol J. Jochem
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.
Carol Jean Jochem, who also goes by Carol Jean Flemma, Carol Flemma, Carol Jean Wallace, Carol Jean Wallace, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1985. Carol had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2012 - September 6, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
July 21, 2008 - August 17, 2012
M&I FINANCIAL ADVISORS, INC
March 31, 2003 - April 21, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 27, 1985 - December 16, 1985
FORESTERS FINANCIAL SERVICES, 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
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
