William A. Montgomery

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CRD#: 6493688

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.

William Allen Montgomery, who also goes by William Allen Montgomery, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2020. William had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Biography

As a Financial Consultant, my role is to help clients plan, protect, and grow their wealth. I believe that through the combination of truly understanding my clients needs along with the power of Fidelity's tools and resources, we can co-create and implement a plan you feel comfortable and confident in.

Question & Answer

Are you a "fiduciary"?

Aliases

William Allen Montgomery

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

Purdue University

Bachelor of Business Administration - Finance

2022

Experience

Past

October 25, 2024 - November 26, 2025

EDWARD JONES

RIA

CRD#: 250

Chesterfield, MO

Past

October 25, 2024 - November 26, 2025

EDWARD JONES

CRD#: 250

Chesterfield, MO

Past

October 22, 2021 - May 22, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MIAMI, FL

Past

August 2, 2021 - May 22, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

FT. LAUDERDALE, FL

Past

May 14, 2020 - May 21, 2021

TD AMERITRADE, INC.

CRD#: 7870

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EDWARD JONES

EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES

CRD#: 250 / SEC#: 801-3297, 8-759

RIA

Registered Investment Advisory firm - SEC (10/24/1963 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/11/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/26/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/14/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/24/2020

Securities Industry Essentials Examination

Current Firm

EDWARD JONES

EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES

CRD#: 250 / SEC#: 801-3297, 8-759

RIA

Registered Investment Advisory firm - SEC (10/24/1963 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

12555 Manchester Road, St. Louis, MO 63131

Mailing Address

12555 Manchester Road, St. Louis, MO 63131-3710

Phone number

(314) 515-2000

Established

Missouri since 02/20/1941

Firm type

Other Types of Legal Formation

Fiscal year end

December

Firm Size

Large

# of Employees

29,003

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

EDWARD JONES BRANCH OFFICE FINANCIAL PLANNING SERVICES BROCHURE (2/9/2026)

EDWARD JONES ADVISORY SOLUTIONS UNIFIED MANAGED ACCOUNT (UMA) MODELS BROCHURE (1/28/2026)

EDWARD JONES OVERLAY MANAGEMENT SERVICES (1/28/2026)

EDWARD JONES SMA MODEL PORTFOLIOS BROCHURE (12/26/2025)

EDWARD JONES INVESTMENT ADVISORY PROGRAM (11/6/2025)

EDWARD JONES GENERATIONS FINANCIAL PLANNING BROCHURE (9/26/2025)

EDWARD JONES RETIREMENT PLAN SERVICES BROCHURE (8/28/2025)

EDWARD JONES GUIDED SOLUTIONS FUND ACCOUNT BROCHURE (5/1/2025)

EDWARD JONES FINANCIAL ADVISOR MANAGED SOLUTIONS ACCOUNT BROCHURE (5/1/2025)

EDWARD JONES ADVISORY SOLUTIONS FUND MODELS BROCHURE (5/1/2025)

EDWARD JONES GUIDED SOLUTIONS FLEX ACCOUNT BROCHURE (5/1/2025)

EDWARD JONES TRANSITIONAL RETIREMENT ACCOUNT BROCHURE (2/20/2025)

Direct owners and executive officers

Name	Position	CRD#
THE JONES FINANCIAL COMPANIES, L.L.L.P.	LIMITED PARTNER
CHUBAK, DAVID	HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT	3254042
EDJ HOLDING COMPANY, INC.	GENERAL PARTNER
GREGO, JENNIFER A	CHIEF COMPLIANCE OFFICER - BROKER/DEALER	4928947
GUMBS, KEIR DEVON	CHIEF LEGAL OFFICER	7815615
GUNN, DAVID ALEXANDER	HEAD OF U.S. BUSINESS UNIT	6150579
JOHNSON, KRISTIN MICHELE	CHIEF OPERATING OFFICER	2662524
KLOCKE, JOSEPH LAWRENCE	CO-HEAD OF SUPERVISION	2792068
MIEDLER, ANDREW TIMOTHY	CHIEF FINANCIAL OFFICER	4620055
O'HANLON, ELIZABETH E	CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR	5834716
PENNINGTON, PENELOPE	CHIEF EXECUTIVE OFFICER	4037237
PURDY, TODD JUDSON	HEAD OF OPERATIONS	5623190
WHALLEY, CASEY JOHN	CO-HEAD OF SUPERVISION	4305865

Regulatory assets under management

Total Number of Accounts	5,086,856
AUM (Assets Under Management)	$ 824,988,034,503

Disclosures

Regulatory Event	160
Civil Event	2
Arbitration	150

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/25/2025	Cover Page	Report
10/24/2024	Cover Page	Report
09/21/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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William A. Montgomery

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

Purdue University

Experience

EDWARD JONES

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2021

Series 63

Date: 5/26/2020

Series 7TO

Date: 5/14/2020

SIE

Date: 1/24/2020

Current Firm

EDWARD JONES

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

EDWARD JONES

TRUST BUT VERIFY

Contact information

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