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Dirk Alan Montgomery

CRD# 6885830·Registered 2018 - 2022
Previously Registered: Being a previously registered professional could mean that Dirk 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.

Professional Summary

Dirk Alan Montgomery was a registered financial advisor. Dirk was a previously registered financial professional and started their career in finance 2018 - 2022. Dirk had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

8 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Irving, TX
October 25, 2019 - November 3, 2022
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Casper, WY
October 25, 2019 - November 3, 2022
1ST GLOBAL ADVISORS INC·CRD# 111133
RIA
Casper, WY
January 7, 2019 - October 25, 2019
1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Casper, WY
November 26, 2018 - October 25, 2019

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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

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jan 2019About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2018About the Series 7 exam

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CRS (Client Relationship Summary)

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

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