George A. Montes
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.
George Albert Montes was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1970. George had worked at 3 firms and has passed the Series 63, Series 55, Series 14 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
April 10, 1990 - July 31, 2009
EMMETT A LARKIN COMPANY, INC.
June 28, 1976 - January 19, 1990
HENRY F. SWIFT & CO.
May 18, 1970 - June 30, 1974
DAHLMAN & 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 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamSeries 40
Date: 5/7/1970
Registered Principal ExaminationCurrent Firm
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
