Leroy Maldonado Montanez

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CRD#: 6974599

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.

Leroy Maldonado Montanez, who also goes by Leroy Maldonado, was a registered financial professional .

Leroy is a previously registered financial professional and started their career in finance in 2019. Leroy had worked at 3 firms and has passed the Series 65, Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Leroy Maldonado

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

Experience

Past

July 11, 2023 - August 11, 2025

PARLIAMENT CAPITAL MANAGEMENT, LLC

RIA

CRD#: 194513

SAN JUAN, PR

Past

December 1, 2021 - September 27, 2022

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Past

October 21, 2019 - October 5, 2020

BOFA SECURITIES, INC.

CRD#: 283942

NEW YORK, NY

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".

PARLIAMENT CAPITAL MANAGEMENT, LLC

CRD#: 194513 / SEC#: 801-121818

RIA

Registered Investment Advisory firm - (7/22/2021 Approved)

Puerto Rico

Registered Investment Advisory firm - (7/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 7/11/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 10/21/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 7/15/2019

Securities Industry Essentials Examination

Current Firm

PARLIAMENT CAPITAL MANAGEMENT, LLC

CRD#: 194513 / SEC#: 801-121818

RIA

Registered Investment Advisory firm - (7/22/2021 Approved)

Puerto Rico

Registered Investment Advisory firm - (7/22/2021 Terminated)

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Contact information

Main Address

1511 Ponce De Leon Ave. Ciudadela- Torre 1000, Suite 6a, San Juan, PR 00909

Mailing Address

P.o. Box 190521, San Juan, PR 00918-9998

Phone number

(787) 200-9004

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PARLIAMENT CAPITAL MANAGEMENT, LLC FORM ADV PART 2A (THE "BROCHURE") (3/31/2025)

Regulatory assets under management

Total Number of Accounts	317
AUM (Assets Under Management)	$ 994,354,491

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.

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Leroy Maldonado Montanez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARLIAMENT CAPITAL MANAGEMENT, LLC

POPULAR SECURITIES, LLC

BOFA SECURITIES, INC.

Primary Firm SEC Registration

PARLIAMENT CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2023

Series 63

Date: 11/25/2019

Series 79TO

Date: 10/21/2019

SIE

Date: 7/15/2019

Current Firm

PARLIAMENT CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARLIAMENT CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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