AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LM

Louis M. Montaino

Some features on this profile are disabled
CRD#: 2570300
LM

Professional summary

Louis Michael Montaino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Louis is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Louis had worked at 9 firms, which includes GREENWOOD SECURITIES INC., MILESTONE GROUP MANAGEMENT LLC, HAPOALIM SECURITIES USA INC., JOSEPH DILLON & COMPANY INC., MORGAN GRANT CAPITAL CORP., AMERICORP SECURITIES INC., COMMONWEALTH ASSOCIATES, FAB SECURITIES OF AMERICA INC., PARAMOUNT INVESTMENTS INTERNATIONAL INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Louis Montaino

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 11, 2003 - August 16, 2004

GREENWOOD SECURITIES, INC.

BD
CRD#: 43887
ENCINO, CA
Past

June 19, 2001 - January 31, 2003

MILESTONE GROUP MANAGEMENT LLC

BD
CRD#: 44486
LAKE SUCCESS, NY
Past

August 25, 2000 - May 18, 2001

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

January 14, 2000 - November 21, 2000

JOSEPH DILLON & COMPANY INC.

BD
CRD#: 35220
GREAT NECK, NY
Past

September 27, 1996 - December 20, 1999

MORGAN GRANT CAPITAL CORP.

BD
CRD#: 28595
GARDEN CITY, NY
Past

November 21, 1995 - July 8, 1996

AMERICORP SECURITIES, INC.

BD
CRD#: 30405
NEW YORK, NY
Past

September 7, 1995 - November 28, 1995

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

January 27, 1995 - August 23, 1995

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

January 9, 1995 - February 20, 1995

PARAMOUNT INVESTMENTS INTERNATIONAL, INC.

BD
CRD#: 30898
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/1995
General Securities Representative Examination

Current Firm

GS
GREENWOOD SECURITIES, INC.
GREENWOOD SECURITIES, INC.

CRD#: 43887 / SEC#: , 8-50462

BD
Terminated by SEC on 10/22/2004
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 12/12/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LONIE, ALICE KATHLEENSOLE STOCKHOLDER2942771
GLIKSMAN, MARI ALYSEGENERAL SECURITIES PRINCIPAL, COMPLIANCE1804774
STELMACK, ARTHURPRES, SEC, TREAS, CROP, SROP831720

Disclosures

Regulatory Event1

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.

Company Information

GREENWOOD SECURITIES, INC.

CRD#: 43887

TRUST BUT VERIFY

Monitor Louis Montaino

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.