Patricia J. Baker
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.
Patricia Jayne Baker, who also goes by Patricia J Lugrich, Patricia Lugrich, Patricia Jayne Myers, Patricia Myers, Patricia Jayne Myersbaker, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1989. Patricia had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2014 - July 6, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
January 29, 2014 - July 6, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - December 7, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
May 18, 2007 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
November 8, 1996 - April 18, 2007
ASSOCIATED INVESTMENT SERVICES, INC.
April 23, 1992 - May 11, 1993
B. C. ZIEGLER AND COMPANY
October 3, 1990 - April 3, 1992
H. C. DENISON CO.
January 18, 1990 - October 17, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 18, 1990 - October 17, 1990
EQUITABLE ADVISORS, LLC
June 20, 1989 - January 23, 1990
M&I FINANCIAL ADVISORS, 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.
