Arturo D. Montenora
Professional summary
Arturo Diego Montenora was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arturo is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Arturo had worked at 17 firms, which includes CAPITAL ONE ADVISORS LLC, CAPITAL ONE INVESTING LLC, CAPITAL ONE FINANCIAL ADVISORS LLC, CAPITAL ONE INVESTMENT SERVICES LLC, INVESTMENT PROFESSIONALS INC., CHELSEA FINANCIAL SERVICES, LPL FINANCIAL LLC, IFMG SECURITIES INC., WAMU INVESTMENTS INC., AMERIPRISE ADVISOR SERVICES INC., AMERICA FIRST ASSOCIATES CORP., NATIONAL CLEARING CORP., TIJA MANAGEMENT INC., EMMETT A LARKIN COMPANY INC., MEYERS POLLOCK ROBBINS INC., H.J. MEYERS & CO. INC., ROYCE INVESTMENT GROUP INC..
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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Experience
January 28, 2015 - May 17, 2017
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - May 17, 2017
CAPITAL ONE INVESTING, LLC
November 28, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
November 25, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
September 16, 2013 - November 26, 2014
INVESTMENT PROFESSIONALS, INC.
September 19, 2011 - September 13, 2013
CHELSEA FINANCIAL SERVICES
May 27, 2008 - April 6, 2010
LPL FINANCIAL LLC
February 22, 2007 - May 27, 2008
IFMG SECURITIES, INC.
February 19, 2004 - November 28, 2006
WAMU INVESTMENTS, INC.
August 21, 2001 - January 28, 2003
AMERIPRISE ADVISOR SERVICES, INC.
September 26, 2000 - February 1, 2001
AMERICA FIRST ASSOCIATES CORP.
January 28, 2000 - July 18, 2000
NATIONAL CLEARING CORP.
March 15, 1999 - July 26, 1999
TIJA MANAGEMENT, INC.
February 2, 1998 - April 8, 1998
EMMETT A LARKIN COMPANY, INC.
October 23, 1996 - January 6, 1998
MEYERS POLLOCK ROBBINS, INC.
May 6, 1996 - November 12, 1996
H.J. MEYERS & CO., INC.
September 29, 1995 - February 1, 1996
ROYCE INVESTMENT GROUP, INC.
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Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
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