Kelli J. Glynn

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CRD#: 2407877

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.

Kelli Jeanne Glynn, who also goes by Kelli Jeanne Steiner, was a registered financial professional .

Kelli is a previously registered financial professional and started their career in finance in 1993. Kelli had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kelli Jeanne Steiner

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

August 29, 2012 - December 4, 2020

BMO ASSET MANAGEMENT CORP.

RIA

CRD#: 106466

CHICAGO, IL

Past

August 1, 2012 - December 31, 2015

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

LEAWOOD, KS

Past

May 14, 2007 - June 8, 2012

M&I INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 109802

KANSAS, KS

Past

January 7, 2005 - January 18, 2007

M&I INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 109802

KANSAS, KS

Past

November 18, 1996 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

LEAWOOD, KS

Past

April 12, 1995 - November 20, 1996

FIMCO SECURITIES GROUP, INC.

CRD#: 30343

PORT WASHINGTON, WI

Past

October 8, 1993 - May 8, 1995

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BMO ASSET MANAGEMENT CORP.

CRD#: 106466 / SEC#: 801-35533

RIA

Registered Investment Advisory firm - (11/17/1989 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/1/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/19/1994

Registered Options Principal Examination

Current Firm

BMO ASSET MANAGEMENT CORP.

CRD#: 106466 / SEC#: 801-35533

RIA

Registered Investment Advisory firm - (11/17/1989 Approved)

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Contact information

Main Address

320 S. Canal Street 12th Floor, Chicago, IL 60606

Mailing Address

Phone number

(312) 461-4002

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BMO AM-ADV PART 2A AMENDMENT_05.15.2025 (5/15/2025)

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 5,186,280,670

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.

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Advisor Monitoring

Firm Stability Insights

Kelli J. Glynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BMO HARRIS FINANCIAL ADVISORS, INC.

M&I INVESTMENT MANAGEMENT CORP.

M&I INVESTMENT MANAGEMENT CORP.

M&I FINANCIAL ADVISORS, INC

FIMCO SECURITIES GROUP, INC.

CABRERA CAPITAL MARKETS, LLC

Primary Firm SEC Registration

BMO ASSET MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/1/2007

Series 63

Date: 10/11/1993

SIE

Date: 12/31/2015

Series 7

Date: 10/7/1993

Series 4

Date: 9/19/1994

Current Firm

BMO ASSET MANAGEMENT CORP.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BMO ASSET MANAGEMENT CORP.

TRUST BUT VERIFY

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