Charlie J. Montero
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.
Charlie J Montero JR, who also goes by Charlie Jogas, Ace Montero Jr, Carlos J Montero, Charles J Montero, Charles Montero, Charlie J Montero, was a registered financial professional .
Charlie is a previously registered financial professional and started their career in finance in 1988. Charlie had worked at 24 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2010 - March 25, 2011
THE ROCKWELL FINANCIAL GROUP, INC.
December 6, 2007 - July 8, 2008
CHADBOURN SECURITIES, INC.
September 28, 2005 - November 17, 2005
ANDREW GARRETT INC.
April 14, 2005 - August 25, 2005
S.W. BACH & COMPANY
September 23, 2004 - September 24, 2004
LEGEND MERCHANT GROUP, INC.
January 2, 2004 - September 22, 2004
BERRY-SHINO SECURITIES, INC.
March 5, 2003 - August 5, 2003
LEGEND SECURITIES, INC.
November 21, 2002 - January 24, 2003
SPENCER CLARKE LLC
April 11, 2002 - April 14, 2004
THOMAS FLETCHER & COMPANY, INC.
October 12, 2000 - March 11, 2002
THE THORNWATER COMPANY, L.P.
December 7, 1999 - January 27, 2000
BLUESTONE CAPITAL CORP.
April 28, 1999 - November 18, 1999
AMERICAN INVESTMENT SERVICES, INC.
July 20, 1998 - December 31, 1998
CAPITAL SECURITIES OF AMERICA, INC.
May 6, 1998 - May 27, 1998
WISE CHOICE DISCOUNT BROKERAGE, INC.
June 9, 1994 - January 28, 1998
GRUNTAL & CO., L.L.C.
May 4, 1993 - May 31, 1994
J.P. MORGAN SECURITIES LLC
August 24, 1992 - May 5, 1993
H.J. MEYERS & CO., INC.
March 6, 1992 - July 15, 1992
FINANCIAL SQUARE PARTNERS
December 19, 1991 - February 18, 1992
DEUTSCHE BANK SECURITIES INC.
June 27, 1991 - December 19, 1991
JOSEPHTHAL & CO., INC.
April 24, 1990 - February 14, 1991
GLOBAL AMERICA INCORPORATED
November 17, 1989 - April 20, 1990
RODMAN & RENSHAW INC.
February 11, 1988 - December 17, 1989
LEHMAN BROTHERS INC.
January 19, 1988 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
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
THE ROCKWELL FINANCIAL GROUP, INC.
CRD#: 26153 / SEC#: , 8-42399
Contact information
FINRA licenses (25 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
