Kalalea J. Montgomery
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.
Kalalea Jonathan Montgomery, who also goes by Jonathan Montgomery, was a registered financial professional .
Kalalea is a previously registered financial professional and started their career in finance in 1999. Kalalea had worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2014 - July 21, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 20, 2014 - July 21, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 30, 2012 - March 27, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 30, 2012 - March 27, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 24, 2011 - March 30, 2012
CETERA WEALTH SERVICES, LLC
August 19, 2011 - March 30, 2012
CETERA WEALTH SERVICES, LLC
December 22, 2008 - June 7, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 12, 2008 - December 15, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 12, 2008 - June 7, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2008 - January 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 8, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 13, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 31, 1999 - September 29, 2000
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
