Daniel C. Montano
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.
Daniel Carmichael Montano was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 5 firms and has passed the Series 63, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1995 - January 17, 1997
BROOKSTREET SECURITIES CORPORATION
December 23, 1991 - August 25, 1992
INTERFIRST CAPITAL CORPORATION
January 24, 1985 - February 8, 1995
MONTANO SECURITIES CORPORATION
September 21, 1982 - November 7, 1984
FIRST WILSHIRE SECURITIES, INC.
April 26, 1982 - October 6, 1982
EMMETT A LARKIN COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/19/1970
Registered Representative ExaminationF04
Date: 12/12/1977
Financial Principal ExaminationSeries 40
Date: 2/9/1976
Registered Principal ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
