Richard P. Montejano
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.
Richard Patrick Montejano, who also goes by Rick P Montejano, Rick Montejano, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2014 - January 5, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 5, 2014 - January 5, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 8, 2012 - October 7, 2013
U.S. BANCORP ADVISORS, LLC
October 8, 2012 - October 7, 2013
U.S. BANCORP ADVISORS, LLC
July 29, 2010 - January 31, 2012
INDEPENDENT FINANCIAL GROUP, LLC
July 27, 2010 - January 31, 2012
INDEPENDENT FINANCIAL GROUP, LLC
December 11, 2003 - July 13, 2010
WELLS FARGO INVESTMENTS, LLC
December 11, 2003 - July 13, 2010
WELLS FARGO INVESTMENTS, LLC
December 30, 1998 - December 15, 2003
UBS FINANCIAL SERVICES INC.
December 21, 1998 - December 15, 2003
UBS FINANCIAL SERVICES INC.
April 26, 1996 - November 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - May 6, 1996
CITIGROUP GLOBAL MARKETS INC.
November 6, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
October 6, 1988 - November 13, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 1985 - October 18, 1988
KIDDER, PEABODY & CO. INCORPORATED
October 26, 1984 - February 8, 1985
SECO SECURITIES, INC.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
