Albert M. Montagna
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.
Albert Michael Montagna, who also goes by Al Michael Montagna, Albert Montagna, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1999. Albert had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2014 - December 22, 2017
SPC FINANCIAL INC
February 10, 2014 - March 4, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 24, 2013 - January 21, 2014
EQUITABLE ADVISORS, LLC
September 24, 2013 - January 21, 2014
EQUITABLE ADVISORS, LLC
August 13, 2012 - September 12, 2013
PLANNING SOLUTIONS GROUP, LLC
August 10, 2012 - September 13, 2013
TRIAD ADVISORS LLC
November 28, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2011 - July 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 2010 - June 2, 2010
NEW ENGLAND SECURITIES
February 26, 2010 - June 2, 2010
WALNUT STREET SECURITIES, INC.
February 26, 2010 - June 2, 2010
TOWER SQUARE SECURITIES, INC.
February 26, 2010 - June 2, 2010
NEW ENGLAND SECURITIES
February 26, 2010 - June 2, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
February 12, 2010 - June 2, 2010
MSI FINANCIAL SERVICES, INC.
February 3, 2010 - June 2, 2010
MSI FINANCIAL SERVICES, INC.
March 15, 2006 - May 29, 2009
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - May 29, 2009
FRANKLIN DISTRIBUTORS, LLC
January 2, 2004 - December 2, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 2, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
July 9, 2003 - October 2, 2003
TD AMERITRADE, INC.
March 21, 2002 - October 2, 2003
TD AMERITRADE, INC.
November 26, 1999 - January 9, 2002
T. ROWE PRICE INVESTMENT SERVICES, 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
Current Firm
SPC FINANCIAL INC
CRD#: 104618 / SEC#: 801-14191
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 4,180 |
| AUM (Assets Under Management) | $ 1,392,088,059 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 03/25/2025 | ||
| 10/01/2024 | ||
| 07/30/2024 | ||
| 04/10/2023 |
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.
