Richard N. 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.
Richard Nathaniel Montgomery, who also goes by Maria P Montoya, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2019. Richard had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2022 - February 2, 2023
TREK FINANCIAL
March 6, 2019 - December 6, 2021
EDWARD JONES
February 8, 2019 - December 6, 2021
EDWARD JONES
Primary Firm SEC Registration
TREK FINANCIAL
CRD#: 109376 / SEC#: 801-58087
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 7TO
Date: 2/8/2019
General Securities Representative ExaminationCurrent Firm
TREK FINANCIAL
CRD#: 109376 / SEC#: 801-58087
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,057 |
| AUM (Assets Under Management) | $ 2,492,708,552 |
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.
