VM
Vern Montross
CITY NATIONAL ROCHDALE
Houston, TX 77027
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CRD#: 5768275
VM
Professional summary
Vern Montross, CPWA®, who also goes by Werner Tewes Montross, Werner Montross, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Houston, Texas and CNR SECURITIES, LLC located in Houston, Texas.
Vern is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Vern has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Werner Tewes Montross | Werner Montross
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.
(1) Name of Entity: Rental Properties; Non investment-related; Address: 303 Asbury St, Houston, TX 77007; Nature of OBA: Rental Property; Position/Title/Relationship: Landlord and Owner; Start Date: 10/01/2011; Time devoted: 0 hours per month; 0 during securities trading hours; Duties: Landlord. (2) Name of Entity: Rental Properties; Non investment-related; Address: 1015 Peddie, Houston, TX 77009; Nature of OBA: Rental Property; Position/Title/Relationship: Owner Landlord, Sole Proprietor; Start Date: 07/20/2018; Time devoted: 0 hours per month; 0 during securities trading hours; Duties: Owner, Landlord.
CRS (Client Relationship Summary) - RIA
Click below to view Vern Montross'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®
CPWA®
Start date: 2021-10-07
Expire date: 2023-09-30
Experience
Current
January 10, 2014 - Present
CITY NATIONAL ROCHDALE
Office #1: 1800 West Loop South Suite 1980, Houston, TX 77027RIA
CRD#: 117198
Houston, TX
Current
January 9, 2014 - Present
CNR SECURITIES, LLC
Office #1: 1800 West Loop South Suite 1450, Houston, TX 77027BD
CRD#: 18466
Houston, TX
Past
July 5, 2010 - January 13, 2014
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
HOUSTON, TX
Past
June 24, 2010 - January 13, 2014
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
HOUSTON, 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".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 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
Alabama(3/25/2019)
RR
Arizona(7/13/2015)
IAR
Arizona(3/25/2024)
RR
District of Columbia(3/6/2018)
RR
Florida(1/9/2014)
RR
Georgia(7/12/2018)
RR
Hawaii(4/20/2021)
RR
Illinois(3/25/2019)
RR
Indiana(11/6/2017)
RR
Maryland(9/12/2018)
RR
Massachusetts(8/29/2020)
RR
Michigan(2/2/2016)
RR
Minnesota(9/6/2016)
RR
Mississippi(2/2/2016)
RR
Nebraska(8/29/2020)
RR
Nevada(11/6/2017)
RR
New Hampshire(3/25/2019)
RR
New Jersey(3/25/2019)
RR
New Mexico(4/9/2020)
IAR
New York(4/5/2021)
RR
New York(8/15/2022)
RR
North Carolina(2/3/2016)
RR
Ohio(11/7/2017)
RR
Oklahoma(2/2/2016)
IAR
Oklahoma(2/5/2024)
RR
Oregon(3/25/2019)
RR
Pennsylvania(4/9/2020)
RR
Texas(1/9/2014)
IAR
Texas(1/10/2014)
RR
Vermont(8/29/2020)
RR
Washington(4/9/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
