Jack L. 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.
Jack Lee Montgomery was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1969. Jack had worked at 8 firms and has passed the Series 63, Series 6 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
June 7, 2000 - December 31, 2003
LEGACY FINANCIAL SERVICES, INC.
March 3, 2000 - June 9, 2000
WOODBURY FINANCIAL SERVICES, INC.
February 22, 1999 - December 31, 1999
UNITED SECURITIES ALLIANCE, INC.
July 15, 1991 - November 15, 1991
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 8, 1987 - July 15, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
August 23, 1983 - October 3, 1989
CENTAUR INVESTMENTS, INC.
February 8, 1974 - December 27, 1982
GUARDIAN INVESTOR SERVICES LLC
September 8, 1969 - February 8, 1974
GLICOA ASSOCIATES, INC.
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: 3/11/1968
Registered Representative ExaminationCurrent Firm
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
