Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocky? Claim Your ProfileRocky Steven Montgomery is a financial advisor with Prospera Financial Services, Inc., based in Loudon, TN. Rocky has been in the financial services industry since May 1987. Rocky has a diverse background, including experience at several firms such as Capital Guardian, LLC, Sagepoint Financial, Inc., Investors Capital Corp., John Hancock Distributors, Inc., John Hancock Mutual Life Insurance Company, Morgan Keegan & Company, Inc., EquiCo Securities, Inc., The Equitable Life Assurance Society of the United States, and First Investors Corporation.
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.
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.
Percentage of assets under review
1
2
TN
09/19/2016 - Present
Prospera Financial Services, Inc. (Loudon TN)
TN
03/27/2009 - 09/23/2016
CAPITAL GUARDIAN, LLC (LOUDON TN)
TN
10/20/2006 - 03/31/2009
SAGEPOINT FINANCIAL, INC. (LOUDON TN)
TN
01/31/1995 - 10/25/2006
INVESTORS CAPITAL CORP. (LOUDON TN)
MA
02/13/1992 - 01/20/1995
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
02/13/1992 - 01/20/1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
TN
01/30/1991 - 09/27/1991
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
10/20/1987 - 02/13/1991
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
10/20/1987 - 02/13/1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NA
11/12/1986 - 09/01/1987
FIRST INVESTORS CORPORATION
BOTH
Issued 11/03/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/22/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/1991
Series 7 - General Securities Representative Examination
BC
Issued 11/10/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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