George G. 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.
George Granville Montgomery JR. was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1966. George had worked at 12 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2018 - April 2, 2019
DC ADVISORY
March 10, 2014 - March 1, 2018
SIGNAL HILL CAPITAL GROUP LLC
July 16, 2002 - December 16, 2014
SEVEN HILLS PARTNERS LLC
February 1, 2000 - May 13, 2002
J.P. MORGAN SECURITIES INC.
May 14, 1981 - February 1, 2000
HAMBRECHT & QUIST LLC
May 30, 1980 - April 6, 1981
BLYTH EASTMAN PAINE WEBBER INCORPORATED
January 31, 1980 - December 23, 1981
UBS FINANCIAL SERVICES INC.
January 17, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 26, 1978 - April 5, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - April 5, 1979
WHITE, WELD & CO. INCORPORATED
January 2, 1969 - May 26, 1972
WHITE, WELD & CO., INC
August 30, 1966 - April 5, 1979
WHITE, WELD & CO., INCORPORATED
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 1
Date: 11/17/1961
Registered Representative ExaminationCurrent Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
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.
