Allen R. Montgomery

CAPSTONE WEALTH MANAGEMENT

Lakeland, FL 33813

Some features on this profile are disabled

CRD#: 1101356

Professional summary

Allen Ray Montgomery is a registered financial advisor currently at CAPSTONE WEALTH MANAGEMENT CORP. located in Lakeland, Florida.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Allen has worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

MONTGOMERY RETIREMENT GROUP LLC IS AND HAS BEEN MY D/B/A FOR MARKETING AND CONTINUITY PURPOSES. WE OFFER FIXED PRODUCTS,LIFE INSURANCE,ANNUITIES,ETC. BUT MRG IS NOT A GENERAL AGENT. AT THE PRESENT TIME I SPEND 40+ HOURS WITH THIS BUSINESS BUT ONCE CAPSTONE WEALTH MANAGEMENT IS AN RIA, VERY LITTLE TIME WILL BE DEVOTED TO MRG, LESS THAN 5 HOURS WEEKLY. WE DO PROVIDE QUALIFIED RETIREMENT PLAN ADMINISTRATION THROUGH MRG. MRG IS LOCATED AT LAKELAND, FL. I AM THE PRESIDENT AND CHIEF INVESTMENT STRATEGIST OF THIS COMPANY AND IT WAS FORMED ON JUNE 1, 2006.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Ray Montgomery's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 25, 2012 - Present

CAPSTONE WEALTH MANAGEMENT CORP.

Office #1: 5120 S. Lakeland Drive Suite 1, Lakeland, FL 33813

RIA

CRD#: 165359

Lakeland, FL

Past

July 13, 2012 - May 1, 2013

CORNERSTONE SECURITIES LLC

RIA

CRD#: 140379

LAKELAND, FL

Past

September 28, 2006 - June 20, 2012

BROOKSTONE SECURITIES, INC.

RIA

CRD#: 13366

LAKELAND, FL

Past

September 19, 2006 - June 22, 2012

BROOKSTONE SECURITIES, INC.

CRD#: 13366

LAKELAND, FL

Past

November 16, 2005 - September 18, 2006

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LAKELAND, FL

Past

November 4, 2005 - September 18, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LAKELAND, FL

Past

October 30, 2000 - December 1, 2005

BLUE VASE SECURITIES, LLC

RIA

CRD#: 46765

LAKELAND, FL

Past

October 30, 2000 - December 1, 2005

BLUE VASE SECURITIES, LLC

CRD#: 46765

LAKELAND, FL

Past

January 19, 1990 - December 1, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 20, 1989 - December 8, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 19, 1989 - January 30, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 24, 1986 - June 13, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

August 22, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 14, 1986 - December 24, 1986

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

CRD#: 11176

Past

March 30, 1983 - September 11, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

March 30, 1983 - September 12, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPSTONE WEALTH MANAGEMENT CORP.

CAPSTONE WEALTH MANAGEMENT | CAPSTONE WEALTH MANAGEMENT CORP.

CRD#: 165359 / SEC#: 801-121346

RIA

Registered Investment Advisory firm - (6/1/2021 Approved)

Florida

Registered Investment Advisory firm - (9/17/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/20/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/25/2012)

IAR

Wisconsin
(1/17/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/9/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/29/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/1991

General Securities Principal Examination

Current Firm

CAPSTONE WEALTH MANAGEMENT CORP.

CAPSTONE WEALTH MANAGEMENT | CAPSTONE WEALTH MANAGEMENT CORP.

CRD#: 165359 / SEC#: 801-121346

RIA

Registered Investment Advisory firm - (6/1/2021 Approved)

Florida

Registered Investment Advisory firm - (9/17/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (9/20/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5120 S. Lakeland Drive Suite 1, Lakeland, FL 33813

Mailing Address

Phone number

(866) 596-9886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPSTONE 2025 ANNUAL REVISED FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 92,112,218

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.

Similar Advisors

Thomas Ennis

TRUIST ADVISORY SERVICES, INC.

IAR

SUITE 620, TN

Karen Jones

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Richmond, VA

Michael Mcalpin

INTELLICAPITAL ADVISORS LLC

IAR

PONTE VEDRA, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Allen R. Montgomery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Ray Montgomery's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE SECURITIES LLC

BROOKSTONE SECURITIES, INC.

BROOKSTONE SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

BLUE VASE SECURITIES, LLC

BLUE VASE SECURITIES, LLC

SECURITIES AMERICA, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC WEALTH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

INTEGRATED RESOURCES EQUITY CORPORATION

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPSTONE WEALTH MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2000

Series 63

Date: 4/1/1987

Series 7

Date: 10/19/1985

Series 22

Date: 4/9/1984

Series 6

Date: 3/29/1983

Series 24

Date: 4/30/1991

Current Firm

CAPSTONE WEALTH MANAGEMENT CORP.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPSTONE WEALTH MANAGEMENT CORP.

TRUST BUT VERIFY

Similar Advisors