JM
James E. Montgomery
ALTO SECURITIES
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 7726840
JM
Professional summary
James Elwood Montgomery III, who also goes by Jimmy Elwood Montgomery III, Jimmy Montgomery, is a registered financial professional currently at ALTO SECURITIES, LLC located in Nashville, Tennessee.
James is registered as a RR (Registered Representative) and started their career in finance in 2023. James has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jimmy Elwood Montgomery Iii | Jimmy 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.
CRS (Client Relationship Summary) - BD
Click below to view James Elwood Montgomery III's CRS (Customer Relationship Summary).
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
Current
May 2, 2023 - Present
ALTO SECURITIES, LLC
Office #1: 500 11th Avenue N Suite 790, Nashville, TN 37203BD
CRD#: 318536
Nashville, TN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/20/2023)
RR
Alaska(6/20/2023)
RR
Arizona(6/20/2023)
RR
Arkansas(6/20/2023)
RR
California(6/20/2023)
RR
Colorado(6/20/2023)
RR
Connecticut(6/20/2023)
RR
Delaware(6/20/2023)
RR
District of Columbia(6/20/2023)
RR
Florida(7/6/2023)
RR
Georgia(6/20/2023)
RR
Hawaii(6/20/2023)
RR
Idaho(6/20/2023)
RR
Illinois(2/29/2024)
RR
Indiana(6/20/2023)
RR
Iowa(6/20/2023)
RR
Kansas(6/20/2023)
RR
Kentucky(6/20/2023)
RR
Louisiana(6/20/2023)
RR
Maine(6/20/2023)
RR
Maryland(6/20/2023)
RR
Massachusetts(6/20/2023)
RR
Michigan(6/20/2023)
RR
Minnesota(10/24/2023)
RR
Mississippi(6/20/2023)
RR
Missouri(6/20/2023)
RR
Montana(6/20/2023)
RR
Nebraska(6/20/2023)
RR
Nevada(6/20/2023)
RR
New Hampshire(6/20/2023)
RR
New Jersey(6/20/2023)
RR
New Mexico(6/20/2023)
RR
New York(6/20/2023)
RR
North Carolina(6/20/2023)
RR
North Dakota(6/20/2023)
RR
Ohio(6/20/2023)
RR
Oklahoma(6/20/2023)
RR
Oregon(6/20/2023)
RR
Pennsylvania(6/20/2023)
RR
Rhode Island(6/20/2023)
RR
South Carolina(6/20/2023)
RR
South Dakota(6/20/2023)
RR
Tennessee(6/20/2023)
RR
Texas(6/20/2023)
RR
Utah(6/20/2023)
RR
Vermont(6/20/2023)
RR
Virginia(6/20/2023)
RR
Washington(6/20/2023)
RR
West Virginia(6/20/2023)
RR
Wisconsin(6/20/2023)
RR
Wyoming(6/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AS
ALTO SECURITIES, LLC
ALTO SECURITIES, LLC
CRD#: 318536 / SEC#: , 8-70863
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Mailing Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Phone number
(917) 495-8074
Established
Delaware since 12/20/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
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.
