John E. Montgomery
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.
John Edward Montgomery was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1975. John had worked at 10 firms and has passed the Series 65, Series 63, PC, Series 7, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2014 - June 2, 2017
CAPITAL FIDUCIARY ADVISORS, LLC
January 2, 2004 - December 31, 2011
MONTGOMERY BROTHERS, CAPPIELLO, LLC
April 23, 2003 - March 31, 2014
MONTGOMERY BROTHERS INC
August 29, 2001 - May 21, 2004
SHIELDS & COMPANY
June 12, 1998 - October 19, 1999
POTOMAC CAPITAL MARKETS, LLC
October 5, 1992 - May 31, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1986 - August 24, 1994
THOMSON MCKINNON SECURITIES INC.
October 10, 1983 - August 28, 1986
TUCKER ANTHONY INCORPORATED
June 3, 1977 - October 7, 1983
JULIA M. WALSH & SONS, INCORPORATED
May 27, 1975 - July 10, 1977
FERRIS, BAKER WATTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/17/1975
AMEX Put and Call ExamSeries 8
Date: 7/15/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 5/24/1977
Registered Principal ExaminationCurrent Firm
CAPITAL FIDUCIARY ADVISORS, LLC
CRD#: 153075 / SEC#: 801-72594
Contact information
Red Flags
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