Sean Alex Montgomery

Current Employers

Employment History

• 11/2013 → 07/2026
  Commonwealth Financial Network
  San Diego, CA
• 07/2026 → Present
  Merit Financial Advisors
  Covina, CA
• 07/2026 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY

Previous Registrations

• 2013-11-01 → 2026-08-03
  Commonwealth Financial Network
  Covina, CA
  San Diego, CA
  Pasadena, CA
• 2002-05-30 → 2013-11-02
  Cetera Wealth Services, Llc
  Covina, CA
  Pasadena, CA
  Pasadena, CA

Other Businesses

1. Merit Financial Advisors. Investment-related. At registered location. RIA. Financial Advisor. Start date: 07/2026. 160 hrs/month; all during trading hours. Provide advice to clients. 2. Fixed Insurance. Investment-related. At registered location. Fixed / Traditional Insurance. Agent. Start date: 07/2026. 1 hr/month all during trading hours. Provide insurance advice based on the needs of client(s). 3. Cliffs Resort Vacation Owners Association. Not investment related. 3811 Edwards Rd, Princeville, HI 96722. Real estate. Treasurer. Start date: 07/2015. 1 hr/month; none during trading hours. I am the treasurer of the CRVOA. I and 4 other board members oversee the operation of the CRVOA. 4. Montgomery Financial, Inc. Not investment related. At registered location. Holding company. Owner. Start date: 08/2018. 1 hr/month; none during trading hours. This my financial services business entity. My income and expenses to operate my financial services runs through this S-Corp. Upon my transition to Merit it will become a Holding Company for my Merit stock. 5. MontyDup Partnership. Not investment related. 301 E Colorado Blvd STE 500, Pasadena, CA 91101. Holding company. Owner. Start date: 07/2023. 1 hr/month; none during trading hours. This General Partnership is 50% owned by Montgomery Financial, Inc. and 50%

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-03-13
• S63 Uniform Securities Agent State Law Examination
  2001-04-16

Designations

Other Names

• Sean Alex Montgomery