Helena E. Montgomery
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.
Helena Embry Montgomery, who also goes by Helena Le Juene Embry, Lejuene Embry, Helena E Montgomery, Helena Lejuene Montgomery, Lejuene Montgomery, was a registered financial professional .
Helena is a previously registered financial professional and started their career in finance in 2013. Helena had worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2020 - April 29, 2022
TD AMERITRADE, INC.
August 29, 2014 - October 3, 2017
NYLIFE SECURITIES LLC
September 19, 2013 - November 12, 2013
EDWARD JONES
August 13, 2013 - November 12, 2013
EDWARD JONES
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 7TO
Date: 11/9/2020
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
