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Joseph Ryan Montana

PHX Financial, Inc.

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About Joseph Ryan Montana

Joseph Montana is a financial advisor who has been working in the industry since 2009. Joseph currently holds a Series 63, 7, 24, 4, 52TO, 53, and 79 licenses. Joseph has worked at Phx Financial, Inc. since 2014 and is registered with FINRA and the states of California, Colorado, Florida, Maryland, Massachusetts, New Jersey, New York, and North Carolina. Joseph has also worked for E.J. STERLING, LLC, BLACKBOOK CAPITAL LLC, CHARLES VISTA LLC, and HFP CAPITAL MARKETS LLC.

Firm Information

Joseph Montana is currently registered with PHX Financial, Inc.. PHX Financial, Inc. is a Corporation formed in December 2006. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 3 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

65

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Joseph Montana’s Registration & Firm History

NY

05/27/2014 - Present

PHX Financial, Inc. (NEW YORK NY)

NY

11/11/2013 - 03/14/2014

E.J. STERLING, LLC (NEW YORK NY)

NY

01/03/2013 - 09/04/2013

BLACKBOOK CAPITAL LLC (NEW YORK NY)

NY

06/01/2010 - 01/23/2013

CHARLES VISTA LLC (STATEN ISLAND NY)

NY

07/10/2009 - 06/04/2010

HFP CAPITAL MARKETS LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/10/2015

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/14/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/30/2017

Series 53 - Municipal Securities Principal Examination

BC

Issued 04/27/2016

Series 4 - Registered Options Principal Examination

BC

Issued 07/15/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/2017

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 07/08/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Ryan Montana.
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