Paul M. Dinardo
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.
Paul Michael Dinardo was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 4 firms and has passed the Series 63, SIE, 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
April 7, 2011 - September 14, 2011
MONTGOMERY & CO., LLC
April 6, 2011 - January 4, 2021
HOULIHAN LOKEY ADVISORS, LLC
April 14, 2010 - April 5, 2011
MONTGOMERY & CO., LLC
June 21, 2004 - May 18, 2007
CREDIT SUISSE SECURITIES (USA) LLC
September 19, 1989 - June 27, 2002
GOLDMAN SACHS & CO. LLC
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
MONTGOMERY & CO., LLC
CRD#: 42300 / SEC#: , 8-49789
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCO CLASS A PARTNERSHIP HOLDINGS, LP | MEMBER | |
| MCO COMMON HOLDINGS, LP | MEMBER | |
| MONTGOMERY, JAMES WATSON | CEO/CHIEF COMPLIANCE OFFICER/MEMBER/MANAGER | 2830248 |
| TV MONTGOMERY LLC | MEMBER | |
| WESTRIVER CAPITAL LLC | MEMBER | |
| MITSUBISHI UFJ SECURITIES CO., LTD. | MEMBER | |
| MONTGOMERY, MICHAEL JOHN | PRESIDENT/MEMBER/MANAGER | 4068225 |
| MONTICO, INC. | MEMBER | |
| ALLEN MORGAN | MEMBER BOARD OF MANAGERS | |
| ANDERSON, ERIK J | VICE CHAIRMAN | |
| BREW, JOHN MATTHEW | MEMBER BOARD OF MANAGERS | 1994561 |
| MONTGOMERY & ASSOCIATES | MEMBER | |
| MORGAN, WILLIAM ARTHUR | FINOP | 852925 |
Red Flags
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