Individual Firm
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ANTHONY JAMES MONTGOMERY
TONY JAMES MONTGOMERY
CRD#: 4769527
IA
B
MORGAN STANLEYCRD#: 149777 14850 North Scottsdale Road
Suite 600
Scottsdale, AZ 85254
Suite 600
Scottsdale, AZ 85254
View By:
8/16/2011
Customer Dispute
Denied
State Registrations
B
Arizona 6/1/2009
B
New Mexico 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
IA
California 6/1/2009
B
North Carolina 6/1/2009
B
Colorado 6/1/2009
B
Ohio 6/1/2009
B
Connecticut 1/11/2022
B
Oklahoma 1/24/2011
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 9/11/2012
B
Pennsylvania 1/13/2012
B
Hawaii 5/25/2016
B
South Carolina 3/12/2021
B
Idaho 7/15/2022
B
South Dakota 6/13/2024
B
Illinois 6/1/2009
B
Texas 2/11/2011
B
Massachusetts 1/8/2010
IA
Texas 3/4/2011
B
Michigan 6/1/2009
B
Utah 6/1/2009
B
Minnesota 1/5/2021
B
Virginia 4/1/2022
B
Montana 6/1/2009
B
Washington 6/1/2009
B
Nevada 1/4/2023
B
Wisconsin 5/11/2018
B
New Jersey 1/28/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | SCOTTSDALE, AZ | |
B | 04/02/2007 - 06/01/2009 | SCOTTSDALE, AZ | |
IA | 06/19/2006 - 04/02/2007 | SCOTTSDALE, AZ | |
B | 02/24/2006 - 04/02/2007 | SCOTTSDALE, AZ | |
B | 04/15/2004 - 03/15/2006 | SCOTTSDALE, AZ |
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B
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.
IA
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.