Roberto Montes

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 06/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Worth, TX
• 07/2015 → 06/2018
  Bank Of America, N.A.
  Fort Worth, TX
• 07/2018 → 07/2021
  Compass Bank
  Birmingham, AL
• 07/2018 → 07/2021
  Bbva Securities Inc
  El Paso, TX
• 07/2018 → 07/2021
  Bbva Compass Insurance Agency Inc
  Austin, TX
• 07/2018 → 07/2021
  Bbva Wealth Solutions Inc
  El Paso, TX
• 07/2021 → Present
  Lpl Financial Llc
  El Paso, TX

Previous Registrations

• 2018-07-30 → 2021-07-14
  Pnc Managed Account Solutions, Inc.
  El Paso, TX
• 2015-05-27 → 2018-07-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Colleyville, TX
  Fort Worth, TX
  El Paso, TX
• 2014-02-24 → 2015-05-19
  Wells Fargo Clearing Services, Llc
  North Richland Hills, TX
  Fort Worth, TX

Other Businesses

1) 07/19/2021 - GRAHAM CAPITAL STRATEGIES LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 07/2021 - 4 Hr/Mth 2) 01/03/2024 - Vibe Insurance Services Inc - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/30/2023 - 12 Hrs/Mo; 0 Hrs During Trading. 3) 01/30/2024 - Pivot Wealth Management, LLC - Inv Related - At reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 9/28/2023 - 40 Hrs/mo; 33 hrs During Trading. 4) 03/05/2024 - Clover Insurance Agency - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 12/11/2023 - 4 Hours Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2014-02-24
• S63 Uniform Securities Agent State Law Examination
  2008-05-02

Other Names

• Roberto T Montes
• Roberto Tomas Montes