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Theresa Ann Montoya

Wells Fargo Securities, LLC

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About Theresa Ann Montoya

Theresa Montoya is a financial advisor with Wells Fargo Securities, LLC. Theresa has been in the industry since 1999. Theresa is registered with the Financial Industry Regulatory Authority (FINRA). Theresa is also registered with the state of Tennessee. Theresa holds the Series 7, Series 63, Series 52TO, Series 99TO and SIE licenses.

Firm Information

Theresa Montoya is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. 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.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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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Theresa Montoya’s Registration & Firm History

TN

06/02/2015 - Present

Wells Fargo Securities, LLC (MEMPHIS TN)

TN

04/25/2013 - 05/26/2015

VINING SPARKS (MEMPHIS TN)

TN

04/25/2013 - 12/23/2014

ICBA SECURITIES (MEMPHIS TN)

TN

07/23/2008 - 04/23/2013

CANTOR FITZGERALD & CO. (MEMPHIS TN)

TN

01/01/2008 - 07/17/2008

WACHOVIA SECURITIES, LLC (MEMPHIS TN)

TN

09/03/1999 - 01/03/2008

A. G. EDWARDS & SONS, INC. (MEMPHIS TN)

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Licenses & Designations

BC

Issued 07/02/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Theresa Ann Montoya.
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