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Paul J. Montessoro

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CRD#: 1306581
PM

Professional summary

Paul Joseph Montessoro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Paul is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Paul had worked at 3 firms, which includes KEOGLER MORGAN & COMPANY INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

August 17, 1995 - December 13, 1996

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

May 26, 1993 - July 11, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 26, 1984 - January 19, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/14/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 9/23/1993
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/1993
General Securities Representative Examination

Current Firm

KM
KEOGLER, MORGAN & COMPANY, INC.
KEOGLER, MORGAN & COMPANY, INC. | THE PLANNER'S SECURITIES GROUP, INC. | THE FINANCIAL GROUP, INC.

CRD#: 16546 / SEC#: , 8-34056

BD
Terminated by SEC on 02/14/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 03/27/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

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