Individual Firm
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DWIGHT KIMBALL MONTGOMERY
CRD#: 2071473
IA
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NEWEDGE ADVISORSCRD#: 171351 GAHANNA, OH
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4/4/2008
Customer Dispute
Denied
3/25/2003
Customer Dispute
Denied
State Registrations
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Ohio 11/1/2021
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/19/2018 - 11/01/2021 | DUBLIN, OH | |
IA | 09/12/1999 - 08/22/2017 | COLUMBUS, OH | |
B | 07/17/1990 - 08/22/2017 | COLUMBUS, OH | |
B | 07/17/1990 - 07/03/2006 | MINNEAPOLIS, MN |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.