EM
Eric Montgomery
CETERA INVESTMENT ADVISERS LLC
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 5957214
EM
Professional summary
Eric Montgomery, who also goes by Eric W Montgomery, Eric Wayne Montgomery, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwood Village, Colorado and CETERA WEALTH SERVICES, LLC located in Greenwood Village, Colorado.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Eric has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric W Montgomery | Eric Wayne 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.
1. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL ADVISORY SERVICES START DATE: 06/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISING, PLANNING AND INSURANCE 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2010 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 4 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF OTHER BUSINESS: EM LENDING LLC DBA NEW WAY FINANCIAL INVESTMENT RELATED: NO ADDRESS: PARKER, CO NATURE OF BUSINESS: MORTGAGE SERVICES START DATE: 01/2021 POSITION/TITLE/RELATIONSHIP: BROKER/OWNER APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 12 BRIEF DESCRIPTION OF DUTIES: 1ST AND SECOND POSITION MORTGAGES, EXCEPT REVERSE MORTGAGES. 4. NAME OF OTHER BUSINESS: NEW WAY PROSPERITY PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 24; APX NUMBER OF HOURS DURING TRADING HOURS: 24; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Eric 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
June 17, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111RIA
CRD#: 105644
GREENWOOD VILLAGE, CO
Current
June 17, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111BD
CRD#: 13572
Greenwood Village, CO
Past
April 5, 2023 - June 16, 2025
SPC
RIA
CRD#: 110692
Englewood, CO
Past
April 5, 2023 - June 16, 2025
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
Englewood, CO
Past
February 4, 2021 - April 12, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREENWOOD VILLAGE, CO
Past
February 2, 2021 - April 12, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
GREENWOOD VILLAGE, CO
Past
May 13, 2019 - January 19, 2021
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Denver, CO
Past
July 17, 2018 - March 4, 2019
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Columbus, GA
Past
July 16, 2018 - March 4, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
COLUMBUS, GA
Past
July 27, 2017 - July 9, 2018
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
PARKER, CO
Past
September 30, 2015 - July 9, 2018
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
PARKER, CO
Past
December 23, 2014 - September 18, 2015
BBVA SECURITIES INC.
BD
CRD#: 27060
DENVER, CO
Past
September 27, 2013 - October 20, 2014
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ENGLEWOOD, CO
Past
August 27, 2012 - August 27, 2013
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DENVER, CO
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
Colorado(6/17/2025)
IAR
Colorado(6/17/2025)
RR
Illinois(7/16/2025)
RR
Indiana(6/17/2025)
RR
Washington(6/17/2025)
RR
Wyoming(6/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)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
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 | ||
| 11/18/2022 |
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.
