Alfred B. Montgomery
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.
Alfred Bland Montgomery, who also goes by Al Montgomery, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1983. Alfred had worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1991 - June 17, 2021
VINING-SPARKS IBG, LLC
August 14, 1989 - December 17, 2019
ICBA SECURITIES
March 23, 1983 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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