FIRST MONTAUK SECURITIES CORP.
(CRD# 13755 / SEC# 8-29748 )
ADVANCED INVESTMENT , AMERICAN CAPITAL MANAGEMENT , ASSET MANAGEMENT CONSULTANT , B & G CAPITAL MANAGEMENT , BARREIRO AND ASSOCIATES , BARRETT HAYNES FINANCIAL GROUP , BAUGHMAN FINANCIAL GROUP , BELLI MONACO , BERRY ASSET MANAGEMENT , BONIELLO CAPITAL MANAGEMENT , BURNS ASSET MANAGEMENT , BURTON CAPITAL STRATEGIES GROUP , BUSINESS AND FINANCIAL SERVICES , C & B FINANCIAL SVCS. , CAPITAL ESTATE ADVISORS , CENTURY DISCOUNT INVESTMENTS , EVYAVAN ADVISORY SERVICES , FIRST MONTAUK SECURITIES CORP. , FORTRESS WEALTH MANAGEMENT , GROTJAHN CAPITAL MANAGEMENT , HAMPTON CAPITAL MANAGEMENT , HORIZON WEALTH SOLUTIONS , HUNT ASSET MANAGEMENT , INVESTMENT ASSET MANAGEMENT , KAROON CAPITAL MANAGEMENT , LYL INVESTMENTS , MCM CONSULTING & MANAGEMENT SERFICES , MFG/BOGGS,BUSTAMANTE,BELMONTE FINANCIAL GROUP , MILLER AND CHRISTIAN ASSET MANAGEMENT , MOFIELD & ASSOC. , MONTAUK FINANCIAL GROUP , PERSONAL INVESTMENT CENTERS , PHG ASSET MANAGEMENT & DEVELOPMENT , QUIGLEY TAX ADVISORY GROUP , ROME CAPITAL MANAGEMENT , SCHREIBER INVESTMENT COMPANY , SHARMA CAPITAL , THE CARDINAL HILL GROUP , THE LARAWAY FINANCIAL GROUP , UNION ADVANTAGE FINANCIAL , VC MANAGEMENT , VENTURE WEALTH MANAGEMENT , WASHINGTON ASSET MANAGEMENT , WEALTH MANAGEMENT DESIGN
The investment adviser you have selected is NOT currently registered and is NOT filing reports with the SEC or any state.
(Last Form ADV Filed On
This adviser is also a brokerage firm
|SEC / JURISDICTION
Investment adviser firms registered with the SEC may be required to provide to state
securities authorities a copy of their Form ADV and any accompanying amendments
filed with the SEC. These filings are called "notice filings". Below are
the states with which the firm you selected makes its notice filings. Also listed
is the date the firm first became notice filed or registered in each state.
Not Currently Notice Filed
EXEMPT REPORTING ADVISERS
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because
they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules.
Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations.
An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete.
Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV.
Below are the regulators with which an ERA report is filed.
Not Currently an Exempt Reporting Adviser