JM
Jeffrey D. Montgomery
MONTGOMERY FINANCIAL
OCEAN CITY, MD 21842
Some features on this profile are disabled
CRD#: 5921383
JM
Professional summary
Jeffrey David Montgomery, who also goes by Jeff Montgomery, is a registered financial advisor currently at MONTGOMERY FINANCIAL located in Ocean City, Maryland.
Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Jeffrey has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff 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.
MFS Wealth LLC; 11022 Nicholas Lane, Suite 6, Berlin, MD 21811; INSURANCE AGENT; Started 01/2016; 40% OF TIME IN THIS BUSINESS FOR INSURANCE SERVICES AND PRODUCTS; Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey David 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
March 8, 2014 - Present
MONTGOMERY FINANCIAL
Office #1: 11718 Ocean Gateway, Ocean City, MD 21842RIA
CRD#: 170024
OCEAN CITY, MD
Past
January 3, 2012 - March 7, 2014
ADVANTAGE RETIREMENT GROUP
RIA
CRD#: 144417
OCEAN PINES, MD
Past
July 25, 2011 - December 31, 2011
ADVANTAGE RETIREMENT GROUP
RIA
CRD#: 144417
OCEAN PINES, MD
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".
MF
MONTGOMERY FINANCIAL
MONTGOMERY FINANCIAL | MONTGOMERY FINANCIAL SERVICES, LLC
CRD#: 170024 / SEC#: 801-129508
RIA
Registered Investment Advisory firm - (2/15/2024 Approved)California
Registered Investment Advisory firm - (10/16/2016 Terminated)Delaware
Registered Investment Advisory firm - (2/20/2024 Terminated)Florida
Registered Investment Advisory firm - (2/20/2024 Terminated)Maryland
Registered Investment Advisory firm - (3/25/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (2/20/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Delaware(4/3/2014)
IAR
Florida(10/23/2017)
IAR
Maryland(3/8/2014)
IAR
Pennsylvania(9/21/2022)
Current Firm
MF
MONTGOMERY FINANCIAL
MONTGOMERY FINANCIAL | MONTGOMERY FINANCIAL SERVICES, LLC
CRD#: 170024 / SEC#: 801-129508
RIA
Registered Investment Advisory firm - (2/15/2024 Approved)California
Registered Investment Advisory firm - (10/16/2016 Terminated)Delaware
Registered Investment Advisory firm - (2/20/2024 Terminated)Florida
Registered Investment Advisory firm - (2/20/2024 Terminated)Maryland
Registered Investment Advisory firm - (3/25/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (2/20/2024 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
11718 Ocean Gateway, Ocean City, MD 21842
Mailing Address
Phone number
(410) 208-1004
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,672 |
| AUM (Assets Under Management) | $ 167,014,455 |
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.
Company Information
MONTGOMERY FINANCIAL
CRD#: 170024Ocean City, MD 21842TRUST BUT VERIFY
Monitor Jeffrey Montgomery
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
