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LS

Linda K. Schaefer

Some features on this profile are disabled
CRD#: 844875
LS

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.

Linda Kay Schaefer was a registered financial professional .

Linda is a previously registered financial professional and started their career in finance in 1977. Linda had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 1, 2012 - November 28, 2012

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
CHICAGO, IL
Past

August 1, 2012 - November 28, 2012

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

April 18, 2012 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

RIA
CRD#: 16517
MILWAUKEE, WI
Past

April 28, 2010 - April 19, 2012

M&I INVESTMENT MANAGEMENT CORP.

RIA
CRD#: 109802
MILWAUKEE, WI
Past

May 17, 2007 - March 30, 2010

M&I FINANCIAL ADVISORS, INC

RIA
CRD#: 16517
MILWAUKEE, WI
Past

May 17, 2007 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

BD
CRD#: 16517
MILWAUKEE, WI
Past

May 2, 2001 - May 4, 2007

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
GRAND RAPIDS, MI
Past

March 7, 1997 - May 2, 2001

OLD KENT FINANCIAL ADVISORS

BD
CRD#: 17039
GRAND RAPIDS, MI
Past

May 20, 1996 - February 14, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 21, 1980 - December 31, 1994

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

November 1, 1977 - April 14, 1980

BUTCHER & SINGER INC.

BD
CRD#: 6517

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/14/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/1997
General Securities Principal Examination

Current Firm

BH
BMO HARRIS FINANCIAL ADVISORS, INC.
BANK OF MONTREAL | HARRIS INVESTOR SERVICES, INC. | BMO HARRIS FINANCIAL ADVISORS, INC. | BMO HARRIS FINANCIAL ADVISORS, INC | BMO HARRIS FINANCIAL ADVISORS | BHFA

CRD#: 137115 / SEC#: 801-64847, 8-67064

BD
Terminated by SEC on 10/29/2021
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
115 S Lasalle Street 13w, Chicago, IL 60603
Mailing Address
Phone number
Established
Delaware since 08/17/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

BHFA FORM ADV PART 2A (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORPSHAREHOLDER
LAKE, STEPHANIE ANNCHIEF FINANCIAL OFFICER, FIN OP5845009
MCMILLAN, DARREN CHARLESCHIEF COMPLIANCE OFFICER2347547

Disclosures

Regulatory Event7

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.

Company Information

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

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