Jose-luis D. Montiel
Professional summary
Jose-luis Daniel Montiel, who also goes by Jose Montiel, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Denver, Colorado and PRINCIPAL SECURITIES, INC. located in Denver, Colorado.
Jose-luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jose-luis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jose-luis Daniel Montiel's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2022 - Present
PRINCIPAL ADVISED SERVICES
Office #1: 4600 S Syracuse Ste 1010, Denver, CO 80237August 6, 2010 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4600 S Syracuse Ste 1010, Denver, CO 80237August 18, 2010 - October 31, 2022
PRINCIPAL SECURITIES, INC.
February 27, 2007 - June 18, 2009
PRINCIPAL SECURITIES, INC.
February 21, 2007 - June 18, 2009
PRINCIPAL SECURITIES, INC.
September 9, 2005 - November 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2005 - November 25, 2005
IDS LIFE INSURANCE COMPANY
September 9, 2005 - November 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2021)
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(8/6/2010)
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(10/31/2022)
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(4/5/2024)
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(8/6/2010)
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(2/15/2021)
(8/6/2010)
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(8/6/2010)
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(8/6/2010)
Exams
FINRA
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
