RM
Ricardo M. Montejano
KESTRA PRIVATE WEALTH SERVICES
CLINTON, MT
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CRD#: 1275284
RM
Professional summary
Ricardo Mark Montejano, who also goes by Rick Montejano, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Clinton, Montana and KESTRA INVESTMENT SERVICES, LLC located in Calabasas, California.
Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Ricardo has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Montejano
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo Mark Montejano's 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®
NoneExperience
Current
April 27, 2012 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #2: 23622 Calabasas Road Suite 300, Calabasas, CA 91302RIA
CRD#: 155193
CLINTON, MT
Current
February 28, 2014 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 23622 Calabasas Road Suite 300, Calabasas, CA 91302BD
CRD#: 42046
Calabasas, CA
Past
September 28, 2012 - March 5, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODLAND HILLS, CA
Past
May 7, 2012 - September 28, 2012
SPIRE SECURITIES, LLC
BD
CRD#: 144131
WOODLAND HILLS, CA
Past
April 27, 2007 - May 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WOODLAND HILLS, CA
Past
April 27, 2007 - May 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WOODLAND HILLS, CA
Past
January 25, 2001 - May 8, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WOODLAND HILLS, CA
Past
November 3, 2000 - May 8, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WOODLAND HILLS, CA
Past
June 20, 1984 - November 9, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/21/2025)
RR
Alaska(2/17/2023)
RR
Arizona(2/28/2014)
IAR
California(4/27/2012)
RR
California(2/28/2014)
RR
Colorado(2/28/2014)
RR
Connecticut(2/17/2023)
RR
Florida(2/17/2023)
RR
Idaho(11/30/2017)
RR
Illinois(2/17/2023)
RR
Indiana(2/17/2023)
RR
Kansas(2/17/2023)
RR
Maryland(2/17/2023)
RR
Massachusetts(2/17/2023)
RR
Michigan(11/24/2014)
IAR
Montana(4/30/2012)
RR
Montana(2/28/2014)
RR
Nevada(7/31/2018)
RR
New York(3/17/2014)
RR
North Carolina(10/27/2023)
RR
Ohio(3/17/2014)
RR
Oregon(2/28/2014)
RR
Pennsylvania(2/17/2023)
RR
South Carolina(2/28/2014)
RR
Tennessee(2/17/2023)
RR
Texas(2/28/2014)
RR
Virginia(1/12/2018)
RR
Washington(2/28/2014)
RR
West Virginia(3/17/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
