Sami Patrick Bacon
Professional Summary
Sami Patrick Bacon was a registered financial advisor. Sami was a previously registered financial professional and started their career in finance 1991 - 1994. Sami had worked at 1 firm and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
FREEMAN WELWOOD & CO., INC. | HARRIS INVESTORLINE INC. | HARRIS INVESTORLINE | HARRIS ADVANTEDGE INVESTING
Contact Information
Established
Washington since 09/29/1972Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANKMONT FINANCIAL INC. | OWNER | — |
| BALOCCA, ROBERT CHARLES | VICE PRESIDENT - MANAGER CHICAGO SERVICE CENTER | 711828 |
| BLISS, LOUISE MAGDALENA | VICE PRESIDENT - DIRECTOR BRANCH MANAGEMENT DEVELOPMENT | 1480019 |
| BLUCHER, BEVERLY | DIRECTOR | — |
| CHAMBERLAIN, LAURA ELLEN | VICE PRESIDENT - TRADING | 855748 |
| CRANSTON, CATHRYN | DIRECTOR | — |
| DOWNE, WILLIAM A | DIRECTOR | — |
| FREEMAN, DAVID JAMES | VICE PRESIDENT - RISK MANAGEMENT | 2124204 |
| FREEMAN, SCOTT ROGER | SENIOR VICE PRESIDENT | 1212941 |
| HICKS, JAMES CONRAD | VICE PRESIDENT - OPERATIONS | 1622345 |
| KAMINSKI, SHARON LINTHICUM | VICE PRESIDENT - COMPLIANCE (SROP, CROP) | 852921 |
| KAPALA, JAMES PATRICK | VICE PRESIDENT - DIRECTOR REGIONAL SALES (HARRIS ADVANTEDGE) | 2004109 |
| KEELEY, PATRICK BROOKS | PRESIDENT - HARRIS ADVANTEDGE DIVISION | 4351177 |
| OUELLETTE, GILLES G | DIRECTOR, CHAIRMAN OF THE BOARD | 4107031 |
| RATKOWSKI, ANDREA SUSAN | VICE PRESIDENT - BRANCH SERVICES | 1121876 |
| SAXON, BRUCE | VICE PRESIDENT- DIRECTOR OF COMPLIANCE (MUNI PRINCIPAL, GOVT. PRINCIPAL) | 1507740 |
| SCHWENGER, BRUCE STEPHEN | DIRECTOR; CHIEF EXECUTIVE OFFICER | 2951722 |
| SMYTH, MICHAEL J | SENIOR VICE PRESIDENT - RISK AND FINANCE - CFO; FINOP | 2802717 |
| STUTH, SCOTT ANTHONY | SR. VICE PRESIDENT - PLATFORM SALES PROGRAM | 1362264 |
| TRAUTVETTER, RODNEY EUGENE | DIRECTOR; PRESIDENT & COO | 1011807 |
| UETZ, LYNN RAE | VICE PRESIDENT - HUMAN RESOURCES | 2236989 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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