Zane O. Torgrude
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.
Zane O Torgrude was a registered financial professional .
Zane is a previously registered financial professional and started their career in finance in 1990. Zane had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - April 26, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - April 26, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
April 19, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
April 28, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
September 15, 2005 - March 30, 2010
M&I FINANCIAL ADVISORS, INC
January 3, 2005 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
July 27, 2001 - January 10, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 27, 2001 - January 10, 2005
OSAIC FA, INC.
May 29, 1990 - August 2, 2001
LUTHERAN BROTHERHOOD SECURITIES CORP.
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.
