Gary M. Tomal
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.
Gary Michael Tomal was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2001. Gary had worked at 3 firms and has passed the Series 66, SIE 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
January 17, 2014 - February 10, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
January 17, 2014 - February 10, 2017
BMO HARRIS FINANCIAL ADVISORS, INC.
December 9, 2011 - January 24, 2014
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2011 - January 24, 2014
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2001 - December 19, 2001
ELECTRONIC TRADING GROUP, LLC
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
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