Hector J. Montes
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.
Hector Juan Montes, who also goes by Hector Montes, was a registered financial professional .
Hector is a previously registered financial professional and started their career in finance in 1985. Hector had worked at 5 firms and has passed the Series 63, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1988 - February 25, 1994
HOWARD GARY & COMPANY, A MUNICIPAL SECURITIES INVESTMENT FIRM
July 6, 1988 - April 4, 1990
CARMONA, MOTLEY AND COMPANY, INC.
July 22, 1987 - January 4, 1988
MATTHEWS & WRIGHT, INC.
January 31, 1987 - July 22, 1987
DANIELS & BELL, INC.
October 22, 1985 - March 5, 1986
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
HOWARD GARY & COMPANY, A MUNICIPAL SECURITIES INVESTMENT FIRM
CRD#: 10189 / SEC#: , 8-25819
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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