Sami P. Bacon
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.
Sami Patrick Bacon was a registered financial professional .
Sami is a previously registered financial professional and started their career in finance in 1991. Sami had worked at 1 firm and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 1991 - December 5, 1994
HARRIS INVESTORLINE 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
HARRIS INVESTORLINE INC.
CRD#: 6362 / SEC#: , 8-17353
Contact information
Documents
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 | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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