Kellie T. Montgomery

MUTUAL OF AMERICA SECURITIES LLC

Providence, RI 02903-2630

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CRD#: 4494411

Professional summary

Kellie Tisha Montgomery, CFP®, who also goes by Kellie Tisha Thomas, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Providence, Rhode Island.

Kellie is registered as a RR (Registered Representative) and started their career in finance in 2002. Kellie has worked at 6 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kellie Tisha Thomas

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 Kellie Tisha Montgomery's CRS (Customer Relationship Summary).

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: 2007

Experience

Current

September 19, 2007 - Present

MUTUAL OF AMERICA SECURITIES LLC

Office #1: 500 Exchange Street Suite 9-200, Providence, RI 02903-2630

CRD#: 27878

Providence, RI

Past

September 19, 2007 - October 15, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

Boca Raton, FL

Past

February 17, 2006 - September 24, 2007

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BALTIMORE, MD

Past

December 13, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

BALTIMORE, MD

Past

December 13, 2005 - September 24, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BALTIMORE, MD

Past

April 9, 2004 - November 30, 2005

BANNEKER CAPITAL MANAGEMENT CORP.

RIA

CRD#: 125519

OWINGS MILLS, MD

Past

May 24, 2002 - April 2, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BALTIMORE, MD

Past

March 15, 2002 - April 2, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

State Registrations and Notice Filings

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

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

Alabama
(3/15/2012)

Delaware
(10/9/2007)

District of Columbia
(9/19/2007)

Florida
(3/15/2012)

Georgia
(3/15/2012)

Louisiana
(3/15/2012)

Maryland
(9/19/2007)

Mississippi
(3/15/2012)

North Carolina
(10/9/2007)

Pennsylvania
(9/19/2007)

South Carolina
(3/15/2012)

Virginia
(9/19/2007)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/12/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 8/28/2024

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878 / SEC#: , 8-43278

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

320 Park Avenue, New York, NY 10022

Mailing Address

320 Park Avenue, New York, NY 10022-3869

Phone number

(212) 224-1600

Established

Delaware since 06/29/1990

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MUTUAL OF AMERICA HOLDING COMPANY LLC	MEMBER
BAILEY, CHRISTOPHER DAVID	CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER	4582524
BRANT, DAVID ROBERT	FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO)	2718478
GREGORY, IVAN BRUCE	EXECUTIVE VICE PRESIDENT AND BOARD MANAGER	4984456
JOHNSON, TROY SHERMAN	EXECUTIVE VICE PRESIDENT AND BOARD MANAGER	3052097
MEDLIN, KYLE LAWRENCE	SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	5496979
STEINGARTEN, BRIE ANNE ELIZABETH	GENERAL COUNSEL AND SECRETARY	5373977

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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Advisor Monitoring

Firm Stability Insights

Kellie T. Montgomery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kellie Tisha Montgomery's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

BANNEKER CAPITAL MANAGEMENT CORP.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/12/2002

Series 99TO

Date: 8/28/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/14/2002

FINRA

Current Firm

MUTUAL OF AMERICA SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MUTUAL OF AMERICA SECURITIES LLC

TRUST BUT VERIFY

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