John A. Montgomery
Professional summary
John A Montgomery JR., who also goes by Chip Montgomery, John A Montgomery, John Anthony Montgomery Jr, John Anthony Montgomery Jr., John Anthony Montgomery Jr, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1985. John has worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John A Montgomery JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2018 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111May 7, 2018 - November 14, 2018
AXIOM CAPITAL MANAGEMENT, INC.
January 8, 2014 - June 2, 2016
BRANT POINT CAPITAL, LLC
March 4, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
February 17, 2006 - October 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2003 - January 6, 2006
NEWEDGE USA, LLC
September 13, 2002 - August 18, 2003
VCROSS CAPITAL MARKETS LLC
July 17, 2001 - September 12, 2002
AK CAPITAL LLC
April 14, 1997 - March 9, 2000
COWEN AND COMPANY
May 20, 1992 - April 14, 1997
UBS SECURITIES LLC
April 16, 1990 - May 26, 1992
UBS FINANCIAL SERVICES INC.
January 17, 1986 - May 25, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 1985 - November 1, 1985
"SHAREAMERICA"
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2018)
(11/2/2022)
Exams
Series 8
Date: 6/2/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
