Patty L. Nogalski
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.
Patty Lynn Nogalski, who also goes by Patty Lynn Grimm, was a registered financial professional .
Patty is a previously registered financial professional and started their career in finance in 1998. Patty had worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - November 9, 2012
BMO HARRIS FINANCIAL ADVISORS, INC.
June 8, 2012 - November 14, 2016
BMO ASSET MANAGEMENT CORP.
September 3, 2002 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
June 26, 2000 - July 5, 2002
M&I FINANCIAL ADVISORS, INC
March 5, 1998 - June 8, 2012
M&I INVESTMENT MANAGEMENT CORP.
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
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
