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Elizabeth R. Nani

Some features on this profile are disabled
CRD#: 2343067
EN

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.

Elizabeth Rafferty Nani was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 1993. Elizabeth had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 20, 2011 - October 14, 2020

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
CHICAGO, IL
Past

September 20, 2011 - October 14, 2020

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

January 3, 2011 - June 21, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHICAGO, IL
Past

January 3, 2011 - June 21, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHICAGO, IL
Past

July 2, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
CHICAGO, IL
Past

July 2, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CHICAGO, IL
Past

November 26, 2008 - May 27, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CHICAGO, IL
Past

October 24, 2008 - May 27, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
CHICAGO, IL
Past

September 9, 2008 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

May 28, 1993 - April 8, 1994

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/18/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/25/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/27/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BH
BMO HARRIS FINANCIAL ADVISORS, INC.
BANK OF MONTREAL | HARRIS INVESTOR SERVICES, INC. | BMO HARRIS FINANCIAL ADVISORS, INC. | BMO HARRIS FINANCIAL ADVISORS, INC | BMO HARRIS FINANCIAL ADVISORS | BHFA

CRD#: 137115 / SEC#: 801-64847, 8-67064

BD
Terminated by SEC on 10/29/2021
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
115 S Lasalle Street 13w, Chicago, IL 60603
Mailing Address
Phone number
Established
Delaware since 08/17/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

BHFA FORM ADV PART 2A (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORPSHAREHOLDER
LAKE, STEPHANIE ANNCHIEF FINANCIAL OFFICER, FIN OP5845009
MCMILLAN, DARREN CHARLESCHIEF COMPLIANCE OFFICER2347547

Disclosures

Regulatory Event7

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.

Company Information

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

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