Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Charles Montgomery is a financial advisor with over 30 years of experience in the industry. Michael has worked for several prominent firms, including Merrill Lynch, Prudential Securities, A. G. Edwards & Sons, UBS Financial Services, and Wells Fargo Clearing Services. Currently, Michael is a registered representative with Morgan Stanley in Santa Barbara, California. Michael is licensed to offer investment advice in several states and holds the Series 7, Series 63, Series 65, and SIE licenses. Michael is also a member of FINRA. Michael provides a variety of advisory services to clients, including financial planning, portfolio management, and investment advice.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
04/28/2020 - Present
Morgan Stanley (Montecito CA)
CA
11/06/2006 - 05/08/2017
WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)
NJ
06/01/2001 - 11/21/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MO
05/30/1995 - 06/06/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
12/02/1991 - 06/01/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/13/1988 - 12/05/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/15/1988 - 07/20/1988
SHEARSON LEHMAN HUTTON INC.
NA
09/24/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 07/02/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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