Charles S. Montgomery
Professional summary
Charles Stephens Montgomery, who also goes by Steve Montgomery, Steven Montgomery, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Chicago, Illinois.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 6 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Stephens Montgomery's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2025 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 425 S. Financial Place Ste 2700, Chicago, IL 60605October 10, 2015 - March 26, 2025
PIPER SANDLER & CO.
August 22, 2008 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
October 2, 2000 - December 13, 2007
LASALLE FINANCIAL SERVICES, INC.
August 11, 1997 - October 3, 2000
ABN AMRO INCORPORATED
March 9, 1995 - August 14, 1997
E.A. MOOS & CO. L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/7/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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