Teresa E. Vescovo
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.
Teresa Erin Vescovo, who also goes by Tess Vescovo, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 2008. Teresa had worked at 2 firms and has passed the Series 65, Series 63 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
April 19, 2012 - May 14, 2012
M&I FINANCIAL ADVISORS, INC
April 28, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
October 20, 2009 - March 30, 2010
M&I FINANCIAL ADVISORS, INC
November 12, 2008 - May 14, 2012
M&I FINANCIAL ADVISORS, 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
M&I FINANCIAL ADVISORS, INC
CRD#: 16517 / SEC#: 801-74429, 8-34084
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP | PARENT COMPANY | |
| CRAIN, WILLIAM JOSEPH JR | SVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER | 1442590 |
| FENTZLAFF, RANDALL THOMAS | SVP, INVESTMENT BANKING | 1736887 |
| HARLESS, ROBERT WYNN | SVP, INVESTMENT BANKING, DIRECTOR | 1561671 |
| JOHNSON, CHERYL CLARK | ROSFP, VICE PRESIDENT | 1514048 |
| MIROBALLI, MICHAEL | PRESIDENT, CEO, DIRECTOR, CHAIRMAN | 1545242 |
| ROBERTS, ALBERTA STEPHENS | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 2681068 |
| URBANSKI, DEAN EDWARD | SVP, NATIONAL SALES MANAGER | 1565963 |
Disclosures
| Regulatory Event | 6 |
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.
