Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn A Montgomery is a financial advisor with Rockefeller Financial LLC, a firm with over $50 billion in assets under management. John has been in the industry since 1990 and has worked for a number of notable firms, including Merrill Lynch, UBS Securities, and Paine Webber. John is a Series 3, 7, 10, 24 and SIE licensed professional. Currently John works out of the New York, NY office of Rockefeller Financial LLC. John's experience and qualifications suggest a strong understanding of the financial markets and the needs of clients.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
12/21/2018 - Present
Rockefeller Financial LLC (New York NY)
NY
05/07/2018 - 11/14/2018
AXIOM CAPITAL MANAGEMENT, INC. (NEW YORK NY)
NY
01/08/2014 - 06/02/2016
BRANT POINT CAPITAL, LLC (NEW YORK NY)
NY
02/17/2006 - 10/16/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/04/2009 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
IL
08/19/2003 - 01/06/2006
FIMAT USA, LLC (CHICAGO IL)
CT
09/13/2002 - 08/18/2003
VCROSS CAPITAL MARKETS LLC (GREENWICH CT)
NY
07/17/2001 - 09/12/2002
A.K. CAPITAL, LLC (NEW YORK NY)
NY
04/14/1997 - 03/09/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
05/20/1992 - 04/14/1997
UBS SECURITIES LLC (NEW YORK NY)
NJ
04/16/1990 - 05/26/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
01/17/1986 - 05/25/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
06/18/1985 - 11/01/1985
"SHAREAMERICA"
BC
Issued 07/01/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/16/2003
Series 24 - General Securities Principal Examination
BC
Issued 06/02/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/2005
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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