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Eric Montgomery
ERIC W MONTGOMERY, ERIC WAYNE MONTGOMERY
CRD#: 5957214
IA
B
SPCCRD#: 110692 16 Inverness Place E
D-200
Englewood, CO 80112
D-200
Englewood, CO 80112
PARKLAND SECURITIES, LLCCRD#: 115368 16 Inverness Place E
D-200
Englewood, CO 80112
D-200
Englewood, CO 80112
0
Disclosures
12
Years of Experience
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State Registrations
B
Colorado 4/5/2023
B
Washington 3/5/2024
IA
Colorado 4/5/2023
B
Wyoming 7/6/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 4/5/2023
B
Registered with this firm since 4/5/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/2021 - 04/12/2023 | GREENWOOD VILLAGE, CO | |
B | 02/02/2021 - 04/12/2023 | GREENWOOD VILLAGE, CO | |
B | 05/13/2019 - 01/19/2021 | Denver, CO | |
IA | 07/17/2018 - 03/04/2019 | Columbus, GA | |
B | 07/16/2018 - 03/04/2019 | COLUMBUS, GA | |
IA | 07/27/2017 - 07/09/2018 | PARKER, CO | |
B | 09/30/2015 - 07/09/2018 | PARKER, CO | |
B | 12/23/2014 - 09/18/2015 | DENVER, CO | |
B | 09/27/2013 - 10/20/2014 | ENGLEWOOD, CO | |
B | 08/27/2012 - 08/27/2013 | DENVER, CO |
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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.