Alexander G. Montano
Professional summary
Alexander Gene Montano, who also goes by Alex Montano, is a registered financial advisor currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Alexander has worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Gene Montano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Gene Montano's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2013 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Drive, Newport Beach, CA 92660October 7, 2013 - Present
ROTH CAPITAL PARTNERS, LLC
Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660October 12, 2007 - September 6, 2013
C.K. COOPER & COMPANY, INC.
August 16, 2007 - September 6, 2013
PALADIN CAPITAL PARTNERS, INC.
April 30, 2001 - August 30, 2013
C.K. COOPER & COMPANY, INC.
November 21, 1996 - January 4, 1999
C.K. COOPER & COMPANY, INC.
April 10, 1995 - December 3, 1997
BROOKSTREET SECURITIES CORPORATION
January 3, 1995 - April 10, 1995
TITAN/VALUE EQUITIES GROUP, INC.
March 6, 1992 - August 25, 1992
INTERFIRST CAPITAL CORPORATION
August 29, 1989 - December 31, 1994
MONTANO SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/7/2013)
(10/8/2013)
(6/23/2015)
(6/9/2015)
(6/8/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/7/2006
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
ROTH CAPITAL PARTNERS, LLC
CRD#: 15407 / SEC#: , 8-32129
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CR FINANCIAL HOLDINGS, INC. | MEMBER | |
| AKDENIZ, NAZAN | COO | 2522215 |
| GUREWITZ, AARON MICHAEL | CO-CHIEF EXECUTIVE OFFICER | 2244273 |
| LAMARCHE, KRISTIN DIANE | CHIEF COMPLIANCE OFFICER | 2582393 |
| MORK, JONATHAN ANDREW | MANAGER | 4349125 |
| PANAGIOTIDIS, ALEX | ROSFP | 4582559 |
| PLATT, RICHARD L | GENERAL COUNSEL | 2059118 |
| ROTH, BYRON CLARENCE | CHAIRMAN/MANAGER | 1768553 |
| ROTH, GORDON JAMES | CHIEF FINANCIAL OFFICER/FINOP/MANAGER | 3167226 |
| ROTH, THEODORE DAVID | VICE CHAIRMAN | 4615931 |
| SHETH, SAGAR ARVIND | CO-CHIEF EXECUTIVE OFFICER | 5209865 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
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.
