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EM

Eric Montgomery

CETERA INVESTMENT ADVISERS
PARKER, CO
CRD#: 5957214
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EM
Eric MontgomeryCETERA INVESTMENT ADVISERS

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 Parker, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Montgomery's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 17, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111
RIA
CRD#: 105644
PARKER, CO
Current

June 17, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111
BD
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
RR
IAR
Series 66
Date: 7/24/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/24/2012
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Parker, CO

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