Patti L. Behnke
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.
Patti Lozier Behnke, who also goes by Pat Behnke, Patti Jean Behnke, Patti Behnke, Patti Lozier, was a registered financial professional .
Patti is a previously registered financial professional and started their career in finance in 1989. Patti had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2008 - April 9, 2021
BMO CAPITAL MARKETS CORP.
July 27, 2005 - March 7, 2008
MORGAN STANLEY DISTRIBUTION, INC.
June 2, 2005 - November 9, 2007
MORGAN STANLEY DISTRIBUTORS INC.
May 27, 2005 - March 7, 2008
INVESCO CAPITAL MARKETS, INC.
December 3, 1998 - March 7, 2008
MORGAN STANLEY & CO. LLC
April 29, 1991 - July 15, 1998
MORGAN STANLEY DW INC.
October 25, 1989 - October 18, 1990
L. F. ROTHSCHILD & CO. INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
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.
