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JM

John T. Montgomery

MONTGOMERY WEALTH ADVISORS
SHREVEPORT, LA
Some features on this profile are disabled
CRD#: 6089576
JM

Professional summary

John Thomas Montgomery is a registered financial advisor currently at MONTGOMERY WEALTH ADVISORS located in Shreveport, Louisiana.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. John has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 John Thomas 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®
None

Experience

Current

August 31, 2015 - Present

MONTGOMERY WEALTH ADVISORS

RIA
CRD#: 269932
SHREVEPORT, LA
Past

November 19, 2013 - June 12, 2015

MORGAN STANLEY

RIA
CRD#: 149777
SHREVEPORT, LA
Past

September 27, 2013 - June 12, 2015

MORGAN STANLEY

BD
CRD#: 149777
SHREVEPORT, LA
Past

April 4, 2013 - July 25, 2013

AVANT-GARDE ADVISORS LLC

RIA
CRD#: 151527
SHREVEPORT, LA
Past

November 13, 2012 - March 22, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SHREVEPORT, LA

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
Louisiana
(8/31/2015)
IAR
Texas
(11/19/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/3/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/20/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MW
MONTGOMERY WEALTH ADVISORS
MONTGOMERY & CO., L.L.C. | NIDA AND MONTGOMERY WEALTH ADVISORS | MONTGOMERY WEALTH ADVISORS

CRD#: 269932 / SEC#:

Louisiana
Registered Investment Advisory firm - (8/31/2015 Approved)
Texas
Registered Investment Advisory firm - (11/18/2015 Conditional Restricted)
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Contact information

Main Address
Shreveport, LA
Mailing Address
4830 Line Avenue Box 204, Shreveport, LA 71106
Phone number
(318) 299-5932
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts75
AUM (Assets Under Management)$ 14,271,232

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 WEALTH ADVISORS

CRD#: 269932Shreveport, LA

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