Lori A. Sacco
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.
Lori Ann Sacco, who also goes by Lori Ann Hintzelman, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 2008. Lori 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
March 10, 2014 - November 9, 2018
BMO HARRIS FINANCIAL ADVISORS, INC.
March 5, 2014 - November 9, 2018
BMO HARRIS FINANCIAL ADVISORS, INC.
July 2, 2012 - March 7, 2014
FIFTH THIRD SECURITIES, INC.
June 29, 2012 - March 7, 2014
FIFTH THIRD SECURITIES, INC.
May 15, 2008 - July 26, 2012
ASSOCIATED INVESTMENT SERVICES, 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.
