Robert E. Montero
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.
Robert Ernest Montero, who also goes by Robert E Montero, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - October 1, 2019
CFG CAPITAL MARKETS, LLC
May 1, 2013 - January 6, 2014
ESPOSITO SECURITIES, LLC
November 1, 2011 - May 1, 2013
TEJAS SECURITIES GROUP, INC.
August 14, 2008 - November 4, 2011
HILLTOP SECURITIES INC.
September 17, 1999 - August 5, 2008
FERRIS, BAKER WATTS, LLC
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
Series 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
CFG CAPITAL MARKETS, LLC
CRD#: 39468 / SEC#: , 8-48726
Contact information
Documents
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.
