Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Montgomery is a financial professional with over 17 years of experience in the industry. William currently works for Sanctuary Securities, Inc. William has held previous roles with Regal Securities, Inc. and Investec Ernst & Company. William is licensed to provide investment advice in 50 states and the District of Columbia. William holds the Series 7, 24, 63, 79TO, 99TO and SIE licenses. William is also a Compliance Officer and General Securities Principal.
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.
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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2
IL
05/22/2023 - Present
Sanctuary Securities, Inc. (CHICAGO IL)
IL
03/13/2019 - 10/04/2022
SANCTUARY SECURITIES, INC. (CHICAGO IL)
IL
03/15/2006 - 03/22/2019
REGAL SECURITIES, INC. (GLENVIEW IL)
NY
08/08/2001 - 09/06/2001
INVESTEC ERNST & COMPANY (NEW YORK NY)
BC
Issued 04/19/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/07/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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