NM
Nicolas Montgomery
PARK WALK INVESTMENTS LLC
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 4507625
NM
Professional summary
Nicolas Montgomery, who also goes by Nicolas Ryan Montgomery, is a registered financial advisor currently at PARK WALK INVESTMENTS LLC located in Austin, Texas and PARK WALK CAPITAL MARKETS, LLC located in Austin, Texas.
Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Nicolas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 57, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicolas Ryan 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.
NAME OF BUSINESS: PARK WALK EUROPE LLP (FORMERLY SEAPORT EUROPE LOAN PRODUCTS LLP & AMIAS BERMAN & CO LLP) INVESTMENT RELATED: YES ADDRESS: 17 HANOVER SQUARE, LONDON, W1S 1BN NATURE OF BUSINESS: FSA REGISTERED AFFILIATED BROKER/DEALER POSITION: DIRECTOR START DATE: 8/5/2019 APPROXIMATE NUMBER OF HRS./MOS. DEVOTED: 80 APPROXIMATE NUMBER OF HRS./MOS DEVOTED DURING TRADING HRS. : 80 DUTIES: SALES/TRADING/BUILD-OUT COMPENSATION: COMMISSION NAME OF BUSINESS: PARK WALK LTD INVESTMENT RELATED: YES ADDRESS: 17 HANOVER SQUARE, LONDON, W1S 1BN NATURE OF BUSINESS: INVESTMENTS POSITION/TITLE: DIRECTOR START DATE: 9/2015 APPROXIMATE NUMBER OF HRS./MOS. DEVOTED: NOT APPLICABLE APPROXIMATE NUMBER OF HRS./MOS DEVOTED DURING TRADING HRS.: NOT APPLICABLE DUTIES: OWNER OF PARK WALK EUROPE LLP COMPENSATION: NONE NAME OF BUSINESS: MONT GOMERIC LLC INVESTMENT RELATED: YES ADDRESS: 9001 CAMELBACK DRIVE, AUSTIN, TX. 78733 NATURE OF BUSINESS: INVESTMENTS POSITION/TITLE: MANAGING MEMBER START DATE: 8/2011 APPROXIMATE NUMBER OF HRS./MOS. DEVOTED: NOT APPLICABLE APPROXIMATE NUMBER OF HRS./MOS DEVOTED DURING TRADING HRS.: NOT APPLICABLE DUTIES: OWNER OF PARK WALK INVESTMENTS LLC COMPENSATION: NOT APPLICABLE NAME OF BUSINESS: PARK WALK LLC INVESTMENT RELATED: YES ADDRESS: 1250 S. CAPITAL OF TX HWY., BLDG. 3-STE. 400, AUSTIN, TX 78746 NATURE OF BUSINESS: INVESTMENTS POSITION/TITLE: MANAGING MEMBER START DATE: 05/2019 APPROXIMATE NUMBER OF HRS./MOS. DEVOTED: NOT APPLICABLE APPROXIMATE NUMBER OF HRS./MOS DEVOTED DURING TRADING HRS.: NOT APPLICABLE DUTIES: OWNER OF PARK WALK CAPITAL MARKETS, LLC COMPENSATION: NOT APPLICABLE NAME OF BUSINESS: PARK WALK INVESTMENTS LLC INVESTMENT RELATED: YES ADDRESS: 1250 S. CAPITAL OF TX HWY., BLDG. 3-STE. 400, AUSTIN, TX 78746 NATURE OF BUSINESS: IN PROCESS OF BECOMING RIA POSITION/TITLE: OWNER START DATE: 03/2019 APPROXIMATE NUMBER OF HRS./MOS. DEVOTED: 4 APPROXIMATE NUMBER OF HRS./MOS DEVOTED DURING TRADING HRS.: 0 DUTIES: MANAGE LICENSING AND BUILD-OUT COMPENSATION: NONE NAME OF BUSINESS: SW10 CREDIT OPPORTUNITIES LLC INVESTMENT RELATED: YES ADDRESS: 1250 S. CAPITAL OF TX HWY., BLDG. 3-STE. 400, AUSTIN, TX 78746 NATURE OF BUSINESS: OWNERSHIP OF INVESTMENTS POSITION/TITLE: DIRECTOR START DATE: 03/2022 APPROXIMATE NUMBER OF HRS./MOS. DEVOTED: 1 APPROXIMATE NUMBER OF HRS./MOS DEVOTED DURING TRADING HRS.: 1 DUTIES: IDENTIFY PERIODIC INVESTMENTS NAME OF BUSINESS: PARK WALK CREDIT PARTHERS LLC INVESTMENT RELATED: YES ADDRESS: 1250 S. CAPITAL OF TX HWY., BLDG. 3-STE. 400, AUSTIN, TX 78746 NATURE OF BUSINESS: PURCHASE OF OPPORTUNISTIC INVESTMENTS POSITION/TITLE: DIRECTOR START DATE: 04/2020 APPROXIMATE NUMBER OF HRS./MOS. DEVOTED: 5 APPROXIMATE NUMBER OF HRS./MOS DEVOTED DURING TRADING HRS.: 5 DUTIES: IDENTIFY POTENTIAL INVESTMENTS
CRS (Client Relationship Summary) - RIA
Click below to view Nicolas Montgomery'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®
NoneExperience
Current
February 18, 2022 - Present
PARK WALK INVESTMENTS LLC
Office #1: 1250 S. Capital Of Texas Hwy. Bldg. 3, Suite 400, Austin, TX 78746RIA
CRD#: 300977
AUSTIN, TX
Current
December 23, 2019 - Present
PARK WALK CAPITAL MARKETS, LLC
Office #1: 1120 South Capital Of Texas Highway Bldg. 1 - Suite 120, Austin, TX 78746Office #2: 1250 South Capital Of Texas Highway Bldg. 3, Suite 400, Austin, TX 78746BD
CRD#: 304551
Austin, TX
Past
January 21, 2022 - December 31, 2021
PARK WALK INVESTMENTS LLC
RIA
CRD#: 300977
AUSTIN, TX
Past
December 17, 2019 - December 31, 2021
PARK WALK INVESTMENTS LLC
RIA
CRD#: 300977
AUSTIN, TX
Past
November 16, 2010 - August 5, 2019
SEAPORT GLOBAL SECURITIES LLC
BD
CRD#: 116270
NEW YORK, NY
Past
December 23, 2009 - September 17, 2010
CASEY SECURITIES LLC
BD
CRD#: 35230
GREENBRAE, CA
Past
July 30, 2002 - September 17, 2010
NEW ALBION PARTNERS LLC
BD
CRD#: 119518
SAN FRANCISCO, CA
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.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(4/2/2020)
RR
Connecticut(1/7/2020)
RR
Delaware(8/10/2022)
RR
Florida(2/21/2020)
RR
Illinois(11/19/2020)
RR
Massachusetts(3/31/2020)
RR
Minnesota(4/1/2020)
RR
New York(3/11/2020)
RR
Pennsylvania(10/26/2020)
RR
Texas(1/2/2020)
IAR
Texas(2/18/2022)
RR
Utah(4/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PARK WALK INVESTMENTS LLC
PARK WALK INVESTMENTS LLC
CRD#: 300977 / SEC#:
Texas
Registered Investment Advisory firm - (2/18/2022 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1250 S. Capital Of Texas Hwy. Bldg. 3, Suite 400, Austin, TX 78746
Mailing Address
Phone number
(512) 886-4410
Established
Firm type
Fiscal year end
# of Employees
3
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.
