Monte P. Lehmkuhler
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.
Monte Paul Lehmkuhler was a registered financial professional .
Monte is a previously registered financial professional and started their career in finance in 1988. Monte had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 3, 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
August 21, 1997 - August 15, 2017
B. RILEY SECURITIES, INC.
June 4, 1991 - September 9, 1997
FIRST UNION CAPITAL MARKETS CORP.
May 31, 1989 - September 19, 1989
ALEX. BROWN & SONS INCORPORATED
December 9, 1988 - April 10, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
July 19, 1988 - August 12, 1988
THE STUART-JAMES COMPANY, 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
Series 55
Date: 3/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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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