Kathryn L. Norman
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.
Kathryn Louise Norman, who also goes by Kathyrn Louise Hammes, Kathryn Louise Mellen, Kathy Mellen, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1998. Kathryn had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 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 - February 10, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
February 12, 2008 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
September 27, 2006 - January 30, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - January 30, 2008
J.P. MORGAN SECURITIES INC.
July 15, 2003 - September 27, 2006
BANC ONE SECURITIES CORPORATION
May 18, 1998 - July 1, 2006
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
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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
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