Thomas E. Montgomery

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CRD#: 5571240

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.

Thomas Edward Montgomery, CFP® was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2008. Thomas had worked at 9 firms and has passed the Series 63, Series 65, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

CONSULTING ON TELE MED STARTUP NON INVESTMENT RELATED 2-3 HRS/MONTH

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Past

November 5, 2013 - February 29, 2024

WEALTHSTAR ADVISORS, LLC

RIA

CRD#: 164957

PLANO, TX

Past

August 2, 2012 - December 31, 2013

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

PLANO, TX

Past

May 16, 2012 - July 12, 2012

BEST DIRECT SECURITIES, LLC

CRD#: 146053

CEDAR FALLS, IA

Past

May 27, 2011 - May 15, 2012

WORLD EQUITY GROUP, INC.

CRD#: 29087

PLANO, TX

Past

May 2, 2011 - July 12, 2012

PEREGRINE DIVERSIFIED INVESTMENT SERVICES CORP.

RIA

CRD#: 155820

PLANO, TX

Past

January 1, 2011 - May 2, 2011

CONCORDIUS CAPITAL ADVISORS

RIA

CRD#: 142852

CHICAGO, IL

Past

November 24, 2010 - May 4, 2011

BEST DIRECT SECURITIES, LLC

CRD#: 146053

PLANO, TX

Past

November 5, 2010 - December 31, 2010

CONCORDIUS CAPITAL ADVISORS

RIA

CRD#: 142852

PLANO, TX

Past

June 12, 2009 - November 5, 2010

BREWER FINANCIAL SERVICES, LLC

CRD#: 132558

PLANO, TX

Past

May 28, 2009 - November 5, 2010

BREWER INVESTMENT ADVISORS LLC

RIA

CRD#: 134631

CHICAGO, IL

Past

July 24, 2008 - May 27, 2009

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

DALLAS, TX

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".

WEALTHSTAR ADVISORS, LLC

PROSPERITY RETIREMENT GROUP | WEALTHSTAR ADVISORS, LLC | RCS-CFP

CRD#: 164957 / SEC#: 801-79121

RIA

Registered Investment Advisory firm - (2/3/2014 Approved)

Kansas

Registered Investment Advisory firm - (2/4/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/4/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/17/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/7/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 2/22/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/10/2009

General Securities Representative Examination

Current Firm

WEALTHSTAR ADVISORS, LLC

PROSPERITY RETIREMENT GROUP | WEALTHSTAR ADVISORS, LLC | RCS-CFP

CRD#: 164957 / SEC#: 801-79121

RIA

Registered Investment Advisory firm - (2/3/2014 Approved)

Kansas

Registered Investment Advisory firm - (2/4/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/4/2014 Terminated)

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Contact information

Main Address

305b W Spring Creek Parkway Suite 400, Plano, TX 75023

Mailing Address

Phone number

(972) 372-2935

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHSTAR ADVISORS_COMBINED ADV PART 2A/WRAP BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,571
AUM (Assets Under Management)	$ 791,461,816

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.

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Advisor Monitoring

Firm Stability Insights

Thomas E. Montgomery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT FINANCIAL PARTNERS

BEST DIRECT SECURITIES, LLC

WORLD EQUITY GROUP, INC.

PEREGRINE DIVERSIFIED INVESTMENT SERVICES CORP.

CONCORDIUS CAPITAL ADVISORS

BEST DIRECT SECURITIES, LLC

CONCORDIUS CAPITAL ADVISORS

BREWER FINANCIAL SERVICES, LLC

BREWER INVESTMENT ADVISORS LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

WEALTHSTAR ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/17/2009

Series 65

Date: 7/7/2008

Series 3

Date: 2/22/2011

Series 7

Date: 6/10/2009

Current Firm

WEALTHSTAR ADVISORS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSTAR ADVISORS, LLC

TRUST BUT VERIFY

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