Rocky Montgomery (CRD# 1574808) is an Investment Advisor Representative working at Prospera Financial Services, Inc. in Loudon, TN and has over 37 years of experience in the finance industry.
CRD# 5686846
Primerica Advisors
CRD# 4511877
Ubs Financial Services Inc.
CRD# 2790169
Silver Oak Securities, Inc.
Company Name | Location | Dates | Years |
---|---|---|---|
Prospera Financial Services | Dallas, TX | Sep 2016 - Current | 7 |
Capital Guardian, LLC | Belmont, NC | Mar 2009 - Sep 2016 | 7 |
Financial & Tax Strategies | Maryville, TN | Jan 1995 - Sep 2016 | 21 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Oct 1986 |
S66 | NASAA Uniform Combined State Law Examination | Nov 2006 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- TN
- TX
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Total Assets Under Management7,913MILLIONS
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Total Number of Accounts20,915ACCOUNTS
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Average Account Value$378,345
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Performance-based fees
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- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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