Saul M. Montes-bradley

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CRD#: 4191650

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.

Saul M. Montes-bradley was a registered financial advisor .

Saul is a previously registered financial advisor and started their career in finance in 2000. Saul had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

August 25, 2017 - December 31, 2017

RIA

CRD#: 7471

AVENTURA, FL

Past

July 18, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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: 8/15/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2000

General Securities Representative Examination

Current Firm

SPENCER EDWARDS, INC.

EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

Terminated by SEC on 03/01/2019

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Contact information

Main Address

Mailing Address

Phone number

Established

Colorado since 10/22/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PRIMARC HOLDING CORP.	PARENT COMPANY
FLEMMING, DONNA JEAN	CHIEF FINANCIAL OFFICER/FINOP	1791388
FLEMMING, DONNA JEAN	PRESIDENT, CHIEF EXECUTIVE OFFICER	1791388
KASZYCKI, JOHN EDWARD	CHIEF COMPLIANCE OFFICER	264844
RICHARDSON, THOMAS CRAIG	MANAGER OF TRADING	867402

Disclosures

Regulatory Event	18
Arbitration	2

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.

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Firm Stability Insights

Saul M. Montes-bradley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPENCER EDWARDS, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2000

Series 63

Date: 8/1/2000

SIE

Date: 12/31/2017

Series 7

Date: 7/17/2000

Current Firm

SPENCER EDWARDS, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SPENCER EDWARDS, INC.

TRUST BUT VERIFY

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