AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EM

Ernest V. Montford Sr.

Some features on this profile are disabled
CRD#: 338359
EM

Professional summary

Ernest Vernon Montford Sr. was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ernest is a previously registered financial advisor and started their career in finance in 1972. Prior to being barred, Ernest had worked at 9 firms, which includes MONTFORD ASSOCIATES INC, DONALDSON & CO. INCORPORATED, ENERECAP PARTNERS LLC, ING INVESTMENT MANAGEMENT SERVICES LLC, ABN AMRO SECURITIES LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ernest Vernon Montford Sr | Ernest Vernon Montford | Ernie Montford

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 12, 2006 - December 31, 2007

MONTFORD ASSOCIATES INC

RIA
CRD#: 106854
ATLANTA, GA
Past

November 19, 1991 - August 9, 2002

DONALDSON & CO., INCORPORATED

BD
CRD#: 15404
ATLANTA, GA
Past

June 7, 1990 - October 18, 1991

ENERECAP PARTNERS, LLC

BD
CRD#: 26554
ATLANTA, GA
Past

June 22, 1989 - June 1, 1990

ING INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 21644
NEW YORK, NY
Past

June 22, 1989 - June 1, 1990

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

May 14, 1988 - May 4, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 28, 1983 - May 14, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

September 26, 1978 - April 19, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

December 19, 1972 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/10/1991
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 12/13/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/26/1988
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/23/1983
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 5/21/1983
NYSE Branch Manager Examination

Current Firm

MA
MONTFORD ASSOCIATES INC
MONTFORD & COMPANY, INC. | MONTFORD ASSOCIATES INC

CRD#: 106854 / SEC#: 801-40019

Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1801 Peachtree Stree, N.e. Suite 200, Atlanta, GA 30309-1859
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 - MONTFORD ASSOCIATES 2012 (3/29/2012)

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.

Company Information

MONTFORD ASSOCIATES INC

CRD#: 106854

TRUST BUT VERIFY

Monitor Ernest Montford Sr.

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.