Jon P. Montgomery

Some features on this profile are disabled

CRD#: 1177659

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.

Jon Paul Montgomery was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1983. Jon had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

June 5, 2013 - January 14, 2014

CLEARPATH CAPITAL PARTNERS LLC

RIA

CRD#: 111756

SAN FRANCISCO, CA

Past

September 21, 2011 - July 13, 2012

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SAN FRANCISCO, CA

Past

February 4, 2004 - August 4, 2004

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

January 3, 2003 - January 20, 2004

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 14, 2001 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 8, 2001 - August 27, 2001

TRAUTMAN WASSERMAN & COMPANY, INC.

CRD#: 33007

NEW YORK, NY

Past

March 7, 1995 - February 16, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

November 3, 1994 - April 3, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 9, 1985 - November 11, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 24, 1983 - April 29, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

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".

CLEARPATH CAPITAL PARTNERS LLC

CRD#: 111756 / SEC#: 801-78763

RIA

Registered Investment Advisory firm - (11/7/2013 Approved)

California

Registered Investment Advisory firm - (12/18/2013 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

CLEARPATH CAPITAL PARTNERS LLC

CRD#: 111756 / SEC#: 801-78763

RIA

Registered Investment Advisory firm - (11/7/2013 Approved)

California

Registered Investment Advisory firm - (12/18/2013 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

Menlo Park, CA

Mailing Address

Phone number

(415) 682-6900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (6/25/2025)

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 158,716,225

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jon P. Montgomery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

KIRLIN SECURITIES INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

TRAUTMAN WASSERMAN & COMPANY, INC.

J.P. MORGAN SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CLEARPATH CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2001

Series 63

Date: 10/4/1983

Series 7

Date: 8/20/1983

Current Firm

CLEARPATH CAPITAL PARTNERS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLEARPATH CAPITAL PARTNERS LLC

TRUST BUT VERIFY

Similar Advisors