Dawn A. Degenhardt
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.
Dawn Ann Degenhardt was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1996. Dawn had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
February 28, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
July 9, 2007 - October 1, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
July 9, 2007 - October 1, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
February 1, 2006 - May 8, 2006
OSAIC SERVICES, INC.
February 9, 2001 - August 4, 2005
CITIGROUP GLOBAL MARKETS INC.
April 27, 2000 - August 4, 2005
CITIGROUP GLOBAL MARKETS INC.
December 13, 1996 - May 1, 2000
TD AMERITRADE, 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
Series 8
Date: 9/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
M&I FINANCIAL ADVISORS, INC
CRD#: 16517 / SEC#: 801-74429, 8-34084
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP | PARENT COMPANY | |
| CRAIN, WILLIAM JOSEPH JR | SVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER | 1442590 |
| FENTZLAFF, RANDALL THOMAS | SVP, INVESTMENT BANKING | 1736887 |
| HARLESS, ROBERT WYNN | SVP, INVESTMENT BANKING, DIRECTOR | 1561671 |
| JOHNSON, CHERYL CLARK | ROSFP, VICE PRESIDENT | 1514048 |
| MIROBALLI, MICHAEL | PRESIDENT, CEO, DIRECTOR, CHAIRMAN | 1545242 |
| ROBERTS, ALBERTA STEPHENS | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 2681068 |
| URBANSKI, DEAN EDWARD | SVP, NATIONAL SALES MANAGER | 1565963 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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