Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Robert Montgomery is a financial advisor with over 30 years of experience in the industry. Carl is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since November 2016. Prior to joining Wells Fargo, Carl was with Morgan Stanley and Citigroup Global Markets Inc. Carl has a wide range of experience in providing financial advice to individuals, families, and businesses. Carl holds several licenses and designations, including Series 3, 7, 63, and 65. Carl is committed to providing his clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
07/19/2023 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
06/01/2009 - 10/20/2015
MORGAN STANLEY (LOS ANGELES CA)
CA
01/26/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
01/13/1989 - 02/01/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/24/1988 - 03/27/1989
SECURITY PACIFIC INVESTMENTS, INC.
IA
Issued 12/21/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1988
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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