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JM

Joel T. Montminy

MONTMINY SECURITIES
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 4216976
JM

Professional summary

Joel Thomas Montminy, who also goes by Joel David T. Montminy, Joel T. Montminy, is a registered financial professional currently at MONTMINY SECURITIES, LLC located in Santa Monica, California.

Joel is registered as a RR (Registered Representative) and started their career in finance in 2000. Joel has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joel David T. Montminy | Joel T. Montminy

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) - BD

Click below to view Joel Thomas Montminy'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®
None

Experience

Current

April 18, 2012 - Present

MONTMINY SECURITIES, LLC

Office #1: 201 Santa Monica Blvd Suite 480, Santa Monica, CA 90401Office #2: 201 Santa Monica Blvd Suite 480, Santa Monica, CA 90401
BD
CRD#: 158368
Santa Monica, CA
Past

April 28, 2011 - May 7, 2012

HALES SECURITIES, LLC

BD
CRD#: 104415
NEW YORK, NY
Past

March 28, 2003 - May 26, 2009

GREIF & CO.

BD
CRD#: 30345
LOS ANGELES, CA
Past

October 4, 2000 - February 12, 2001

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/25/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MONTMINY SECURITIES, LLC
CREO CAPITAL SECURITIES, LLC | MONTMINY SECURITIES, LLC

CRD#: 158368 / SEC#: , 8-68893

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
201 Santa Monica Blvd Suite 480, Santa Monica, CA 90401
Mailing Address
201 Santa Monica Blvd Suite 480, Santa Monica, CA 90401
Phone number
(310) 230-8600
Established
Delaware since 05/20/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MONTMINY, JOEL THOMASPRESIDENT & CEO & CCO4216976
GEORGE, KENNETH RONALDPFO & POO2643369

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.

Company Information

MONTMINY SECURITIES, LLC

CRD#: 158368Santa Monica, CA 90401

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