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TD

Thomas C. Ditmar

Some features on this profile are disabled
CRD#: 2518834
TD

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.

Thomas Carl Ditmar, who also goes by Thomas Carl Ditmar Jr, Thomas Ditmar, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Carl Ditmar Jr | Thomas Ditmar

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 2, 2010 - February 7, 2020

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
BURR RIDGE, IL
Past

August 2, 2010 - February 7, 2020

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
BURR RIDGE, IL
Past

April 9, 2010 - August 6, 2010

HARRISDIRECT LLC

RIA
CRD#: 42159
ARLINGTON, VA
Past

April 9, 2010 - August 6, 2010

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

April 27, 2001 - February 16, 2010

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
CHICAGO, IL
Past

April 2, 2001 - February 12, 2010

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
CHICAGO, IL
Past

October 5, 1999 - March 22, 2001

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

May 17, 1999 - October 4, 1999

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

April 13, 1999 - May 7, 1999

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

February 1, 1999 - April 7, 1999

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 26, 1996 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

May 2, 1995 - August 21, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 28, 1994 - May 16, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
IAR
Series 65
Date: 8/31/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/9/1994
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: 7/27/1994
General Securities 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
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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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