Alexis G. Montoya

CVC FUNDING

NEW YORK, NY 10153

CRD#: 2664061

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Professional summary

Alexis Gabriel Montoya, AIF®, CIMA®, who also goes by Alex Montoya, is a registered financial professional currently at CVC FUNDING, LLC located in New York, New York.

Alexis is registered as a RR (Registered Representative) and started their career in finance in 1996. Alexis has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alex Montoya

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) - BD

Click below to view Alexis Gabriel Montoya's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 7, 2025 - Present

CVC FUNDING, LLC

Office #1: 767 Fifth Avenue 14th Floor, New York, NY 10153

CRD#: 277056

NEW YORK, NY

Past

April 21, 2015 - September 4, 2025

LAZARD ASSET MANAGEMENT LLC

RIA

CRD#: 122836

NEW YORK, NY

Past

April 17, 2015 - September 4, 2025

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

August 20, 2014 - April 28, 2016

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA

CRD#: 110353

HOUSTON, TX

Past

August 20, 2014 - April 20, 2015

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

May 8, 2007 - August 11, 2014

RUSSELL INVESTMENTS

RIA

CRD#: 105734

HOUSTON, TX

Past

May 8, 2007 - August 11, 2014

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

HOUSTON, TX

Past

April 21, 2005 - May 1, 2007

BOFA ADVISORS, LLC

RIA

CRD#: 107900

WEST UNIVERSITY, TX

Past

September 7, 2004 - May 1, 2007

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

May 9, 1996 - September 13, 2004

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/7/2025)

Alaska
(10/7/2025)

Arizona
(10/7/2025)

Arkansas
(10/7/2025)

California
(10/7/2025)

Colorado
(10/7/2025)

Connecticut
(10/7/2025)

Delaware
(10/7/2025)

District of Columbia
(10/7/2025)

Florida
(10/7/2025)

Georgia
(10/7/2025)

Hawaii
(10/7/2025)

Idaho
(10/7/2025)

Illinois
(10/7/2025)

Indiana
(10/7/2025)

Iowa
(10/7/2025)

Kansas
(10/7/2025)

Kentucky
(10/7/2025)

Louisiana
(10/7/2025)

Maine
(10/7/2025)

Maryland
(10/7/2025)

Massachusetts
(10/7/2025)

Michigan
(10/7/2025)

Minnesota
(10/7/2025)

Mississippi
(10/7/2025)

Missouri
(10/7/2025)

Montana
(10/7/2025)

Nebraska
(10/7/2025)

Nevada
(10/7/2025)

New Hampshire
(10/7/2025)

New Jersey
(10/7/2025)

New Mexico
(10/7/2025)

New York
(10/7/2025)

North Carolina
(10/7/2025)

North Dakota
(10/7/2025)

Ohio
(10/7/2025)

Oklahoma
(10/7/2025)

Oregon
(10/7/2025)

Pennsylvania
(10/7/2025)

Puerto Rico
(10/7/2025)

Rhode Island
(10/7/2025)

South Carolina
(10/7/2025)

South Dakota
(10/7/2025)

Tennessee
(10/7/2025)

Texas
(10/7/2025)

Utah
(10/7/2025)

Vermont
(10/7/2025)

Virginia
(10/7/2025)

Washington
(10/7/2025)

West Virginia
(10/7/2025)

Wisconsin
(10/7/2025)

Wyoming
(10/7/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/1/2015

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/3/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/3/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CVC FUNDING, LLC

CVC CAPITAL MARKETS | CVC FUNDING, LLC | CVC CREDIT PARTNERS 712, LLC

CRD#: 277056 / SEC#: , 8-69650

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

767 Fifth Avenue 14th Floor, New York, NY 10153

Mailing Address

767 Fifth Avenue 14th Floor, New York, NY 10153

Phone number

(212) 506-3858

Established

Delaware since 06/03/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CVC CREDIT PARTNERS, LLC	MANAGING MEMBER	138528
HASSAN, HUWAIDA	CHIEF COMPLIANCE OFFICER	4991095
RUTITSKIY, DMITRIY	FINOP	6117665
SQUIRE, ROBERT JOHN	CEO/ PRESIDENT	6367973

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Alexis G. Montoya

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexis Gabriel Montoya's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD ASSET MANAGEMENT LLC

LAZARD ASSET MANAGEMENT SECURITIES LLC

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

MORGAN STANLEY DISTRIBUTION, INC.

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/15/2005

Series 63

Date: 4/25/1996

SIE

Date: 10/1/2018

Series 31

Date: 5/1/2015

Series 7

Date: 7/3/1997

Series 6

Date: 5/3/1996

FINRA

Current Firm

CVC FUNDING, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CVC FUNDING, LLC

TRUST BUT VERIFY

Contact information

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