James T. Montgomery
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.
James Taylor Montgomery, who also goes by Jim T Montgomery, Jimmy T Montgomery, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2010 - January 4, 2023
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
April 9, 2010 - January 4, 2023
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
March 13, 2009 - April 15, 2010
RBC CAPITAL MARKETS, LLC
March 13, 2009 - April 15, 2010
RBC CAPITAL MARKETS, LLC
October 31, 2003 - March 13, 2009
FERRIS, BAKER WATTS, LLC
October 31, 2003 - March 13, 2009
FERRIS, BAKER WATTS, LLC
March 3, 1998 - November 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 23, 1998 - November 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1991 - January 28, 1998
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
February 14, 1989 - December 31, 1990
JOHNSTON, LEMON & CO. INCORPORATED
Primary Firm SEC Registration
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
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 8
Date: 1/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
CRD#: 319 / SEC#: 801-67696, 8-3335
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLGER ASSOCIATES LLC | OWNER | |
| FOLGER 2020 TRUST FOR NEIL C. FOLGER | OWNER | |
| FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER | OWNER | |
| CURRENT, JOHN RANDALL | DIRECTOR, EXECUTIVE VICE-PRESIDENT | 2020187 |
| FOLGER, LEE MERRITT | DIRECTOR, SENIOR ADVISOR | 210685 |
| FOLGER, NEIL CLIFFORD | DIRECTOR, CHAIRMAN OF THE BOARD | 2813165 |
| FOLGER, NEIL CLIFFORD | TRUSTEE, FOLGER 2020 TRUST FOR NEIL C. FOLGER, FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER, JOHN D. FOLGER SECTION 9 TRUST | 2813165 |
| FOSTER, RICHARD STEVEN | CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / PRESIDENT, ROSFP | 1655391 |
| FOSTER, RICHARD STEVEN | CCO | 1655391 |
| FOSTER, RICHARD STEVEN | COO | 1655391 |
Regulatory assets under management
| Total Number of Accounts | 471 |
| AUM (Assets Under Management) | $ 857,718,871 |
Disclosures
| Regulatory Event | 2 |
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.
