Herbert W. Montoya
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.
Herbert William Montoya, who also goes by Will Montoya, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1985. Herbert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2016 - December 31, 2023
KESTRA ADVISORY SERVICES, LLC
February 16, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
February 1, 2010 - December 31, 2023
KESTRA INVESTMENT SERVICES, LLC
November 2, 1992 - February 4, 2010
OSAIC FA, INC.
October 2, 1989 - April 5, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 2, 1989 - February 4, 2010
OSAIC FA, INC.
March 7, 1986 - October 4, 1989
MORGAN STANLEY DW INC.
May 30, 1985 - March 3, 1986
METROPOLITAN LIFE INSURANCE COMPANY
May 30, 1985 - March 4, 1986
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
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.
