Susan 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.
Susan Montgomery, who also goes by Susan Smith Hayden, Susan Lynn Montgomery, Susan Lynn Smith, Susan Smith, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1998. Susan had worked at 19 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2022 - August 7, 2026
J.P. MORGAN SECURITIES LLC
October 13, 2016 - November 11, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
February 18, 2004 - September 23, 2019
JPMORGAN DISTRIBUTION SERVICES, INC.
January 1, 2004 - January 29, 2004
FORESIDE DISTRIBUTION SERVICES, L.P.
August 25, 2000 - August 23, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
February 2, 2000 - June 2, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 15, 1998 - December 8, 1999
NEW COVENANT FUNDS DISTRIBUTOR, INC.
June 9, 1998 - December 9, 1999
FTFD FUND DISTRIBUTOR, INC.
June 1, 1998 - March 1, 1999
WILLAMETTE SECURITIES, INC.
June 1, 1998 - December 6, 1999
VICTORY CAPITAL SERVICES, INC.
June 1, 1998 - December 7, 1999
CITI DISTRIBUTION SERVICES, INC.
June 1, 1998 - December 8, 1999
EVERGREEN DISTRIBUTOR, INC.
June 1, 1998 - December 8, 1999
PROFUNDS DISTRIBUTORS, INC.
June 1, 1998 - December 8, 1999
JONES, BYRD, & ATTKISSON, INC.
June 1, 1998 - December 8, 1999
STI CLASSIC FUND SERVICES, INC
June 1, 1998 - December 8, 1999
BD COMPLIANCE SOLUTIONS, LLC
June 1, 1998 - December 9, 1999
BISYS SHELF B/D (1), INC.
June 1, 1998 - December 9, 1999
FORESIDE INVESTMENT SERVICES, LLC
June 1, 1998 - December 9, 1999
HEARTLAND INVESTOR SERVICES, LLC
June 1, 1998 - December 9, 1999
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
March 31, 1998 - December 8, 1999
FORESIDE DISTRIBUTION SERVICES, L.P.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
