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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-11-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 05/1998 | 08/2021 |
| Bbva Securities Inc. | Mobile | AL | 05/2013 | 06/2021 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 10/2000 | 08/2021 |
| Bbva Securities Inc | Mobile | AL | 06/2021 | 08/2021 |
| Pnc Managed Account Solutions, Inc. | Mobile | AL | 06/2021 | 08/2021 |
| Pnc Investments | Mobile | AL | 08/2021 | 11/2021 |
| Raymond James Financial Services Inc | Mobile | AL | 11/2021 | Present |
| Raymond James Financial Services Advisors | Mobile | AL | 11/2021 | Present |
| Smartbank | Mobile | AL | 11/2021 | Present |
(1)Name of Business: SmartBank Address: 3704 Dauphin St, Mobile, AL, 36608-1725, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 11/05/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 11-20 Description of duties: Sr. Registered Client Associate (2)Name of Business: SmartBank Investment Services Address: 3704 Dauphin St, Mobiole, AL, 36608-1725, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 11/05/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 2-10 Description of duties: Sr Registered Client Associates (3) Name of Business: The Montz Wealth Mangagement Group Address: 3704 Dauphin St, Mobile, AL, 36608-1725, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 03/27/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41-80 Description of duties: Sr. Registered Client Associate
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2003-11-05 |
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