Herbert E. Montgomery

THE MONTGOMERY FINANCIAL GROUP

ORLEANS, MA 02653-3240

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CRD#: 4013578

Professional summary

Herbert Elwin Montgomery III, CFP®, who also goes by Herb Montgomery, is a registered financial advisor currently at THE MONTGOMERY FINANCIAL GROUP, INC. located in Orleans, Massachusetts.

Herbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Herbert has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Herb Montgomery

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.

2012-PRESENT/50% owner of Fitz-Mont Environmental Solutions, Inc., which provides businesses and individuals with environmentally sound electricity, water, waste, and lighting solutions. HOURS DEVOTED: 0 HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert Elwin Montgomery III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

June 30, 2006 - Present

THE MONTGOMERY FINANCIAL GROUP, INC.

Office #1: 195 Route 6a Suite 8, Orleans, MA 02653-3240

RIA

CRD#: 140782

ORLEANS, MA

Past

November 18, 1999 - July 18, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 18, 1999 - July 18, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ORLEANS, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/30/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/3/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1999

General Securities Representative Examination

Current Firm

THE MONTGOMERY FINANCIAL GROUP, INC.

CRD#: 140782 / SEC#:

Massachusetts

Registered Investment Advisory firm - (6/30/2006 Approved)

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Contact information

Main Address

195 Route 6a Suite 8, Orleans, MA 02653-3240

Mailing Address

Phone number

(508) 240-1151

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	247
AUM (Assets Under Management)	$ 48,288,985

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Herbert E. Montgomery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert Elwin Montgomery III's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE MONTGOMERY FINANCIAL GROUP, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1999

Series 7

Date: 11/17/1999

Current Firm

THE MONTGOMERY FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE MONTGOMERY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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