Joann A. Pantelis
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.
Joann Anthony Pantelis, who also goes by Joann A Pantelis, was a registered financial professional .
Joann is a previously registered financial professional and started their career in finance in 1993. Joann had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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
December 16, 2005 - March 7, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
December 16, 2005 - March 7, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
January 15, 2003 - December 31, 2005
HARRISDIRECT LLC
January 15, 2003 - December 31, 2005
HARRISDIRECT LLC
December 6, 2002 - December 31, 2002
HARRISDIRECT LLC
May 1, 2002 - December 31, 2002
HARRISDIRECT LLC
December 9, 2000 - May 1, 2002
HARRIS INVESTORLINE INC.
April 15, 2000 - December 9, 2000
HARRIS INVESTORLINE
July 19, 1996 - April 15, 2000
HARRIS INVESTORS DIRECT, INC.
July 9, 1993 - July 17, 1996
ALLSTATE FINANCIAL SERVICES, LLC
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
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