Ulises Montana
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.
Ulises Montana was a registered financial professional .
Ulises is a previously registered financial professional and started their career in finance in 2008. Ulises had worked at 5 firms and has passed the Series 66 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 17, 2014 - May 30, 2014
TRADESTATION SECURITIES, INC.
October 1, 2012 - November 19, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 19, 2013
J.P. MORGAN SECURITIES LLC
January 3, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 19, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 28, 2011 - December 13, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 22, 2011 - December 13, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2009 - November 28, 2011
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - November 28, 2011
CHASE INVESTMENT SERVICES CORP.
July 23, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
April 9, 2008 - May 2, 2009
WAMU INVESTMENTS, 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
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
