Johnny S. Montoya
Professional summary
Johnny S Montoya, who also goes by Johnny Sebastian Montoya, Johnny Montoya, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Johnny is registered as a RR (Registered Representative) and started their career in finance in 2016. Johnny has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Johnny S Montoya's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917August 4, 2025 - August 15, 2025
FIDELITY BROKERAGE SERVICES LLC
April 20, 2023 - January 7, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 17, 2023 - March 3, 2025
FIDELITY BROKERAGE SERVICES LLC
June 29, 2022 - March 6, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 2022 - March 6, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2020 - April 4, 2022
FIDELITY BROKERAGE SERVICES LLC
August 29, 2017 - July 14, 2020
NATIONAL FINANCIAL SERVICES LLC
March 31, 2016 - May 24, 2017
FIDELITY BROKERAGE SERVICES LLC
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
FINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Smithfield, RI 02917TRUST BUT VERIFY
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