Robert Montel
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.
Robert Montel, who also goes by Dibuccio Montel, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1990. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
October 20, 2004 - April 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 5, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 3, 2003 - October 20, 2004
QUICK & REILLY, INC.
November 20, 2003 - October 20, 2004
QUICK & REILLY, INC.
December 9, 2002 - November 17, 2003
NEW ENGLAND SECURITIES
September 25, 2002 - December 2, 2002
OSAIC FA, INC.
September 24, 2002 - December 2, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 24, 2002 - December 2, 2002
OSAIC FA, INC.
October 22, 1990 - October 15, 2002
EQUITABLE ADVISORS, LLC
October 15, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 15, 1990 - October 15, 2002
EQUITABLE ADVISORS, 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
