Heidi M. Pellegrini
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.
Heidi Marie Pellegrini, who also goes by Heidi Marie Caldwell, Pellegrini Pellegrini, Heidi Marie Salzman, was a registered financial professional .
Heidi is a previously registered financial professional and started their career in finance in 2003. Heidi had worked at 3 firms and has passed the Series 63, SIE 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
June 8, 2018 - July 29, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
May 5, 2004 - March 1, 2005
BANC ONE SECURITIES CORPORATION
January 2, 2003 - October 15, 2003
NATCITY INVESTMENTS, 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
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.
