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DR

Diane S. Renforth

Some features on this profile are disabled
CRD#: 2822284
DR

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.

Diane Sue Renforth, who also goes by Diane S Martin, Diane S Worst, was a registered financial professional .

Diane is a previously registered financial professional and started their career in finance in 1996. Diane had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diane S Martin | Diane S Worst

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 1, 2012 - April 19, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
INDIANAPOLIS, IN
Past

August 1, 2012 - April 19, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
INDIANAPOLIS, IN
Past

April 18, 2012 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

RIA
CRD#: 16517
INDIANAPOLIS, IN
Past

April 20, 2010 - April 19, 2012

M&I INVESTMENT MANAGEMENT CORP.

RIA
CRD#: 109802
MILWAUKEE, WI
Past

April 15, 2010 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

BD
CRD#: 16517
INDIANAPOLIS, IN
Past

July 1, 2009 - April 22, 2010

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
GREENWOOD, IN
Past

January 30, 2007 - January 26, 2009

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
INDIANAPOLIS, IN
Past

January 30, 2007 - January 26, 2009

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
INDIANAPOLIS, IN
Past

March 9, 2005 - October 6, 2006

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
INDIANAPOLIS, IN
Past

January 27, 2005 - October 6, 2006

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
INDIANAPOLIS, IN
Past

December 17, 1998 - April 22, 2004

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
INDIANAPPLIS, IN
Past

June 5, 1998 - April 22, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

November 15, 1996 - February 6, 1997

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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: 7/24/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/14/1996
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
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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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