David G. Lee
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.
David G Lee, who also goes by David Lee, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2008 - April 16, 2013
MONTGOMERY & CO., LLC
July 25, 2006 - April 25, 2008
B. RILEY SECURITIES, 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
MONTGOMERY & CO., LLC
CRD#: 42300 / SEC#: , 8-49789
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCO CLASS A PARTNERSHIP HOLDINGS, LP | MEMBER | |
| MCO COMMON HOLDINGS, LP | MEMBER | |
| MONTGOMERY, JAMES WATSON | CEO/CHIEF COMPLIANCE OFFICER/MEMBER/MANAGER | 2830248 |
| TV MONTGOMERY LLC | MEMBER | |
| WESTRIVER CAPITAL LLC | MEMBER | |
| MITSUBISHI UFJ SECURITIES CO., LTD. | MEMBER | |
| MONTGOMERY, MICHAEL JOHN | PRESIDENT/MEMBER/MANAGER | 4068225 |
| MONTICO, INC. | MEMBER | |
| ALLEN MORGAN | MEMBER BOARD OF MANAGERS | |
| ANDERSON, ERIK J | VICE CHAIRMAN | |
| BREW, JOHN MATTHEW | MEMBER BOARD OF MANAGERS | 1994561 |
| MONTGOMERY & ASSOCIATES | MEMBER | |
| MORGAN, WILLIAM ARTHUR | FINOP | 852925 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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