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Michael J. Montgomery
MICHAEL JAMES MONTGOMERY
CRD#: 5528862
IA
B
J.P. MORGAN SECURITIES LLCCRD#: 79 100 INDEPENDENCE
TYLER, TX 75703
TYLER, TX 75703
0
Disclosures
16
Years of Experience
View By:
State Registrations
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Arizona 10/29/2018
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Ohio 7/12/2024
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California 9/18/2017
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Oregon 9/4/2023
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California 9/18/2017
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Tennessee 12/7/2019
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Colorado 5/2/2019
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Texas 9/18/2017
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Idaho 10/12/2020
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Texas 9/18/2017
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Mississippi 9/4/2023
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Virginia 5/6/2020
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North Carolina 9/18/2017
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 9/18/2017
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Registered with this firm since 9/18/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/19/2017 - 09/07/2017 | San Antonio, TX | |
IA | 10/03/2008 - 10/04/2016 | EL CAJUN, CA | |
B | 10/03/2008 - 10/04/2016 | EL CAJUN, CA |
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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.
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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.