BM
Brandon J. Montoya
MONTOYA WEALTH MANAGEMENT
Prescott, AZ 86301
Some features on this profile are disabled
CRD#: 6155790
BM
Professional summary
Brandon Joe Montoya, who also goes by Brandon J. Montoya, Brandon Montoya, is a registered financial advisor currently at MONTOYA WEALTH MANAGEMENT located in Prescott, Arizona.
Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Brandon has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brandon J. Montoya | Brandon Montoya
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.
Montoya Tax Services LLC; not investment related; 2069 Willow Creek Road, Prescott Arizona; managing member of LLC; started 01/2023; approximately 8 hours per month during trading hours; No relationship with or referrals between this business activity and the RIA firm. Monberg Real Estate Holding LLC; not investment related; 2100 Miramonte Drive, Prescott Arizona; started 12/2020; approximately 8 hours per month during trading hours; No relationship with or referrals between this business activity and the RIA firm. City of Prescott; not investment related; City Council Member, started 11/2021; approximately 60 hours per month during trading hours; No relationship with or referrals between this business activity and the RIA firm.
CRS (Client Relationship Summary) - RIA
Click below to view Brandon Joe Montoya'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
September 14, 2016 - Present
MONTOYA WEALTH MANAGEMENT
Office #1: 2069 Willow Creek Road, Prescott, AZ 86301RIA
CRD#: 285039
Prescott, AZ
Past
September 10, 2015 - August 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PRESCOTT, AZ
Past
September 10, 2015 - August 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PRESCOTT, AZ
Past
August 1, 2013 - September 24, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
PRESCOTT, AZ
Past
July 26, 2013 - September 24, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PRESCOTT, AZ
Past
April 29, 2013 - July 3, 2013
EDWARD JONES
RIA
CRD#: 250
PRESCOTT, AZ
Past
March 1, 2013 - July 3, 2013
EDWARD JONES
BD
CRD#: 250
PRESCOTT, AZ
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
Arizona(9/14/2016)
IAR
Texas(9/21/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MW
MONTOYA WEALTH MANAGEMENT
MONTOYA WEALTH | MONTOYA WEALTH MANAGEMENT GROUP LLC | MONTOYA WEALTH MANAGEMENT
CRD#: 285039 / SEC#:
Arizona
Registered Investment Advisory firm - (9/14/2016 Approved)Texas
Registered Investment Advisory firm - (9/21/2020 Conditional Restricted)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
2069 Willow Creek Road, Prescott, AZ 86301
Mailing Address
Phone number
(928) 778-2370
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 285 |
| AUM (Assets Under Management) | $ 54,100,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 9/18/2020 |
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
MONTOYA WEALTH MANAGEMENT
CRD#: 285039Prescott, AZ 86301TRUST BUT VERIFY
Monitor Brandon Montoya
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
