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STEVEN LEWIS MONTGOMERY
Steve Montgomery, Steven L Montgomery
CRD#: 4491482
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 12481 High Bluff Drive
Suite 100
San Diego, CA 92130-3583
Registration History
20022004200620082010201220142016201820202022202420263 FIRMS2002 - 2003 (1 year)2 FIRMS2003 - Present (21 years)
License(s)

State Registrations

B
Arizona 12/16/2009

B
Nevada 5/23/2006

B
California 3/11/2003

B
New Hampshire 7/23/2021

IA
California 3/11/2003

B
New Jersey 3/28/2019

B
Colorado 12/16/2009

B
New York 1/5/2015

B
District of Columbia 7/13/2022

B
North Carolina 11/25/2020

B
Florida 4/30/2012

B
Oregon 9/29/2014

B
Georgia 6/25/2024

B
Pennsylvania 5/21/2020

B
Hawaii 11/30/2012

B
South Carolina 7/13/2022

B
Idaho 4/19/2021

B
Tennessee 7/13/2022

B
Illinois 10/17/2012

B
Texas 4/1/2009

B
Massachusetts 12/16/2009

IA
Texas 1/2/2019

B
Minnesota 3/28/2019

B
Utah 12/16/2009

B
Montana 6/4/2019

B
Virginia 3/28/2019

B
Nebraska 3/30/2023

B
Washington 12/16/2009

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
12481 High Bluff Drive Suite 100, San Diego, CA 92130-3583
Registered with this firm since 3/11/2003

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
12481 High Bluff Drive Suite 100, San Diego, CA 92130-3583
Registered with this firm since 3/11/2003

Previous Registration(s)
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IA
03/14/2002 - 02/27/2003 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) SAN DIEGO, CA
B
02/14/2002 - 02/27/2003 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
02/14/2002 - 02/27/2003 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
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.