DM
Dirk A. Montgomery
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CRD#: 6885830
DM
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.
Dirk Alan Montgomery was a registered financial professional .
Dirk is a previously registered financial professional and started their career in finance in 2018. Dirk had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) Trustee of HEM and MDM Trust 2) PATHFINDER INVESTMENT ADVISORS LLC POSITION: Owner NATURE: Wealth Management Entity INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 11/29/2017 ADDRESS: 330 S. Center, 100, Casper WY 82601, United States DESCRIPTION: i am a referring advisor to this entity 3) PORTER MUIRHEAD CORNIA & HOWARD POSITION: Shareholder NATURE: Accounting firm - cpa type services INVESTMENT RELATED: No NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 160 START DATE: 12/03/2003 ADDRESS: 123 W 1st St, 800, Casper WY 82601, United States DESCRIPTION: tax shareholder and treasurer of company 4) PINE CHALET PROPERTIES LLC POSITION: Owner NATURE: holds real estat property - this is a family partnership, holds mountain property used for personal use and ranch pasture land outside of cheyenne wy INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2014 ADDRESS: 4022 E 9th St, Cheyenne WY 82001, United States DESCRIPTION: prepare the tax return 5) 600 E 1ST STREET LLC POSITION: Owner NATURE: commercial real estate building that will be the location of the PMCH office and Pathfinder Investments office INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2017 ADDRESS: 600 E 1st Street, Casper WY 82601, United States DESCRIPTION: none 6) PMW TRUST POSITION: PMCH is Trust Protector NATURE: Our accounting firm is named trust protector. Power to remove trustees, modify trust, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/06/2017 ADDRESS: 123 W 1st St, STE 80, Casper WY 82602, United States DESCRIPTION: prepare trust return, advise on taxation issues. passive role as trustee and only active should disagreements arise. 7) THE KRISTI A. DILTS LEGACY TRUST POSITION: Trust Protector NATURE: The trust protector is appointed to appoint and remove trustees. Power to amend or modify trust agreement. Changing the trust situs. Direst trustee to comply with the trust provisions. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/29/2020 ADDRESS: 600 East 1st Street, Casper WY 82601, DESCRIPTION: My primary duty is to appoint the trustee of the trust and remove a trustee if they are not performing their duties. 8) A.D.W. REVOCABLE LIVING TRUST DTD 7-15-2020 POSITION: Trustee NATURE: My Aunt passed away 2-9-2022, effective on this date I am now the trustee and executor of her estate. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 02/09/2022 ADDRESS: PO Box 2750, Casper WY 82602-2750, United States DESCRIPTION: My Aunt passed away 2-9-2022, my duties now require me to administer her estate. Collect assets, determine beneficiaries, pay last expenses, file tax returns, distribute assets, sell real property.
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®
NoneExperience
Past
October 25, 2019 - November 3, 2022
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
October 25, 2019 - November 3, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Casper, WY
Past
January 7, 2019 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
CASPER, WY
Past
November 26, 2018 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
Casper, WY
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
