MM
Michael J. Montgomery
CETERA INVESTMENT ADVISERS
EL CAJON, CA 92020
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CRD#: 5528862
MM
Professional summary
Michael J Montgomery, who also goes by Michael James Montgomery, Michael J. Montgomery, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Cajon, California and CETERA INVESTMENT SERVICES LLC located in Chula Vista, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael James Montgomery | Michael J. 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael J 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
November 3, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 898 Jackman St, El Cajon, CA 92020RIA
CRD#: 105644
EL CAJON, CA
Current
November 3, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 386 East H St, Ste 213, Chula Vista, CA 91910Office #2: 4265 Genesee Ave, San Diego, CA 92117Office #3: 898 Jackman St, El Cajon, CA 92020Office #4: 429 Santa Fe Dr, Encinitas, CA 92024Office #5: 1060 University Ave, Suite A101, San Diego, CA 92103Office #6: 8002 La Mesa Blvd, La Mesa, CA 91942Office #7: 8220 Mira Mesa Blvd, San Diego, CA 92126Office #8: 1704 Sweetwater Rd, National City, CA 91950Office #9: 3485 Marron Rd, Oceanside, CA 92056Office #10: 1741 Eastlake Parwkay, Suite 104, San Diego, CA 91915Office #11: 13616 Poway Rd, Suite 200, Poway, CA 92064Office #12: 9808 Mission Gorge Rd, Suite A, Santee, CA 92182Office #13: 9825 Mira Mesa Blvd, San Diego, CA 92131Office #14: 5500 Campanile Dr. Ste 140, San Diego, CA 92182Office #15: 3202 Governor Drive Suite 102, San Diego, CA 92122Office #16: 4470 Park Blvd, San Diego, CA 92116Office #17: 777 J Street, San Diego, CA 92101Office #18: 9201 Spectrum Center Blvd, San Diego, CA 92123Office #19: 2040 Imperial Ave Ste3, San Diego, CA 92102BD
CRD#: 15340
Chula Vista, CA
Past
September 18, 2017 - October 21, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
TYLER, TX
Past
September 18, 2017 - October 21, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
TYLER, TX
Past
April 19, 2017 - September 7, 2017
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
San Antonio, TX
Past
October 3, 2008 - October 4, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
EL CAJUN, CA
Past
October 3, 2008 - October 4, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
EL CAJUN, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Arizona(11/3/2025)
RR
California(11/3/2025)
IAR
California(11/3/2025)
RR
Colorado(11/3/2025)
RR
Idaho(11/3/2025)
RR
Mississippi(11/3/2025)
RR
North Carolina(11/3/2025)
RR
Ohio(11/3/2025)
RR
Oregon(11/3/2025)
RR
Texas(11/3/2025)
IAR
Texas(11/3/2025)
RR
Virginia(11/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)PREMIUM
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
