Spencer K. 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.
Spencer Kimble Montgomery was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1994. Spencer had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 44 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2005 - January 30, 2006
LIONSHARE TRADERS, LLC
August 9, 1994 - November 7, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 20, 1994 - May 12, 1994
CHATFIELD DEAN & CO., INC.
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 44
Date: 9/12/2005
PCX Market Maker ExamCurrent Firm
LIONSHARE TRADERS, LLC
CRD#: 44223 / SEC#: , 8-50589
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
