M&I FINANCIAL ADVISORS, INC.
CRD #16517 SEC #801-74429 MILWAUKEE, WI 414-765-7969
SEC Registered Broker-Dealer Disclosures
Total AUM
$3.8B
Discretionary
$2.5B
Employees
251
Clients
0
Accounts
36,252
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Wisconsin
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 19, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BERONJA, KURTIS ALLEN | I | VICE PRESIDENT | NA | |
| BERONJA, KURTIS ALLEN | I | VICE PRESIDENT | NA | |
| CRAIN, WILLIAM JOSEPH JR | I | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, ASSISTANT SECRETARY | NA | |
| CRAIN, WILLIAM JOSEPH JR | I | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | NA | |
| CRAIN, WILLIAM JOSEPH JR | I | SVP, CHIEF FINANCIAL OFFICER, TREASURER | NA | |
| CRAIN, WILLIAM JOSEPH JR | I | SVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER | NA | |
| CRAIN, WILLIAM JOSEPH JR | I | SVP, CHIEF FINANCIAL OFFICER, TREASURER | NA | |
| CRAIN, WILLIAM JOSEPH JR | I | SVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER | NA | |
| CURTIS, WILLIAM KELLEY | I | SR VP, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER,DIRECTOR | NA | Control |
| CURTIS, WILLIAM KELLEY | I | SR VP, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER,DIRECTOR | NA | Control |
| CURTIS, WILLIAM KELLEY | I | SVP, CHIEF OPERATING OFFICER, DIRECTOR, SECRETARY | NA | Control |
| CURTIS, WILLIAM KELLEY | I | SVP, CHIEF OPERATING OFFICER, DIRECTOR, SECRETARY | NA | Control |
| DOWSETT, CHERYL ANNE | I | VICE PRESIDENT, COMPLIANCE MANAGER, MUNICIPAL SECURITIES PRINCIPAL | NA | |
| DOWSETT, CHERYL ANNE | I | VICE PRESIDENT, COMPLIANCE MANAGER, MUNICIPAL SECURITIES PRINCIPAL | NA | |
| DOWSETT, CHERYL ANNE | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL | NA | |
| DOWSETT, CHERYL ANNE | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL | NA | |
| DUCA, JAMES FRANCIS II | I | PRESIDENT | NA | Control |
| DUCA, JAMES FRANCIS II | I | PRESIDENT, ACTING CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| DUCA, JAMES FRANCIS II | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| DUCA, JAMES FRANCIS II | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| FENTZLAFF, RANDALL THOMAS | I | SVP, INVESTMENT BANKING | NA | |
| FENTZLAFF, RANDALL THOMAS | I | SVP, INVESTMENT BANKING | NA | |
| FENTZLAFF, RANDALL THOMAS | I | SVP, INVESTMENT BANKING | NA | |
| FENTZLAFF, RANDALL THOMAS | I | SVP, INVESTMENT BANKING | NA | |
| GORES, KEITH STEVEN | I | CHIEF EXECUTIVE OFFICER, DIRECTOR | NA | Control |
| HARLESS, ROBERT WYNN | I | SVP, INVESTMENT BANKING, DIRECTOR | NA | |
| HARLESS, ROBERT WYNN | I | SVP, INVESTMENT BANKING, DIRECTOR | NA | |
| HARLESS, ROBERT WYNN | I | SVP, INVESTMENT BANKING, DIRECTOR | NA | |
| HARLESS, ROBERT WYNN | I | SVP, INVESTMENT BANKING, DIRECTOR | NA | |
| HIMSTREET, JEFFREY OTIS | I | SECRETARY | NA | |
| HIMSTREET, JEFFREY OTIS | I | SECRETARY, DIRECTOR | NA | |
| JOHNSON, CHERYL CLARK | I | CROP,SROP, VICE PRESIDENT | NA | |
| JOHNSON, CHERYL CLARK | I | CROP,SROP, VICE PRESIDENT | NA | |
| JOHNSON, CHERYL CLARK | I | ROSFP, VICE PRESIDENT | NA | |
| JOHNSON, CHERYL CLARK | I | ROSFP, VICE PRESIDENT | NA | |
| JOHNSON, CHERYL CLARK | I | ROSFP, VICE PRESIDENT | NA | |
| JOHNSON, CHERYL CLARK | I | ROSFP, VICE PRESIDENT | NA | |
| KAMINSKI, DANIEL LEE | I | DIRECTOR | NA | |
| KAMINSKI, DANIEL LEE | I | DIRECTOR | NA | |
| KREI, KENNETH CHARLES | I | DIRECTOR, CHAIRMAN | NA | |
| KREI, KENNETH CHARLES | I | DIRECTOR, CHAIRMAN | NA | |
| KREI, KENNETH CHARLES | I | DIRECTOR, CHAIRMAN | NA | |
| KREI, KENNETH CHARLES | I | DIRECTOR, CHAIRMAN | NA | |
| KREI, KENNETH CHARLES | I | DIRECTOR, CHAIRMAN | NA | |
| KREI, KENNETH CHARLES | I | DIRECTOR, CHAIRMAN | NA | |
| MIROBALLI, MICHAEL | I | PRESIDENT, CEO | NA | Control |
| MIROBALLI, MICHAEL | I | PRESIDENT, CEO | NA | Control |
| O'NEILL, THOMAS JAMES | I | DIRECTOR | NA | |
| O'NEILL, THOMAS JAMES | I | DIRECTOR | NA | |
| OLIVER, STEPHEN RAY | I | VICE PRESIDENT | NA | |
| OLIVER, STEPHEN RAY | I | VICE PRESIDENT | NA | |
| ROBERTS, ALBERTA STEPHENS | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| ROBERTS, ALBERTA STEPHENS | I | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NA | |
| SMITH, GREGORY ALLEN | I | DIRECTOR | NA | |
| URBANSKI, DEAN EDWARD | I | SVP, NATIONAL SALES MANAGER | NA | |
| URBANSKI, DEAN EDWARD | I | SVP, NATIONAL SALES MANAGER | NA | |
| URBANSKI, DEAN EDWARD | I | SVP, NATIONAL SALES MANAGER | NA | |
| URBANSKI, DEAN EDWARD | I | SVP, NATIONAL SALES MANAGER | NA | |
| BMO FINANCIAL CORP | DE | PARENT COMPANY | E | Control |
| BMO FINANCIAL CORP | DE | PARENT COMPANY | E | Control |
| BMO FINANCIAL CORP | DE | PARENT COMPANY | E | Control |
| BMO FINANCIAL CORP | DE | PARENT COMPANY | E | Control |
| MARSHALL & ILSLEY CORPORATION | DE | CORPORATION | E | Control |
| MARSHALL & ILSLEY CORPORATION | DE | CORPORATION | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BANK OF MONTREAL | FE | BMO FINANCIAL CORP. | E | Control |
| BANK OF MONTREAL | FE | BMO FINANCIAL CORP. | E | Control |
| BANK OF MONTREAL | FE | BMO FINANCIAL CORP. | E | Control |
| BANK OF MONTREAL | FE | BMO FINANCIAL CORP. | E | Control |
Registrations
Federal
IA
Jul 19, 2012 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VI VT WA WI WV
Address
111 EAST KILBOURN AVENUE SUITE 200MILWAUKEE, WI 53202
United States
Phone: 414-765-7969