Todd J. Perala
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.
Todd Joel Perala was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1993. Todd had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2015 - August 12, 2016
BMO INVESTMENT DISTRIBUTORS, LLC
May 28, 2013 - April 1, 2014
BMO INVESTMENT DISTRIBUTORS, LLC
August 1, 2012 - January 30, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
November 8, 2006 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
May 9, 2001 - August 2, 2006
M&I FINANCIAL ADVISORS, INC
September 24, 1999 - April 6, 2001
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
January 12, 1995 - February 29, 1996
INVESCO CAPITAL MARKETS, INC.
March 26, 1993 - January 12, 1995
AMERICAN CAPITAL MARKETING, 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 INVESTMENT DISTRIBUTORS, LLC
CRD#: 146711 / SEC#: , 8-67845
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | DIRECT PARENT CORPORATION | |
| GREGORY, MARK ANDREW | CHIEF COMPLIANCE OFFICER | 2253531 |
| JONES, BEN D | PRESIDENT, CHIEF OPERATING OFFICER, DIRECTOR | 4206990 |
| LAKE, STEPHANIE ANN | CHIEF FINANCIAL OFFICER | 5845009 |
| OLEARI, SUSAN G | DIRECTOR | 6660230 |
| PAPAGEORGAKIS, PETE | DIRECTOR | 1974178 |
| RAYNIER, MATTHEW BRENNAN | AML OFFICER | 6843589 |
| WANIE, LEE GORDON JULIAN | DIRECTOR | 2793249 |
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.
