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Andrew J Montgomery

Zacks Investment Management, Inc.

Chicago, IL

CRD 5668018

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Employer firm

Zacks Investment Management, Inc. CRD 110897

$14.6B regulatory AUM 25 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • CREATES AND MANAGES QUANTITATIVE INVESTMENT MODELS THAT ARE LICENSED TO SPONSORS OF UITS AND ETFS

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

Current Employers
Zacks Investment Management, Inc.

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-09-03
  • IL RA
    APPROVED
    Since 2020-09-03

Branch Locations

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Zacks Investment Management Chicago IL 07/2012 06/2019
Icm Chicago IL 06/2019 07/2020
Zacks Investment Management Chicago IL 08/2020 Present
Lbmz Securities, Inc. Chicago IL 09/2023 Present
  • 07/2012 → 06/2019
    Zacks Investment Management
    Chicago, IL
  • 06/2019 → 07/2020
    Icm
    Chicago, IL
  • 08/2020 → Present
    Zacks Investment Management
    Chicago, IL
  • 09/2023 → Present
    Lbmz Securities, Inc.
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-10-28
S65 Uniform Investment Adviser Law Examination 2012-11-14
  • S63 Uniform Securities Agent State Law Examination
    2023-10-28
  • S65 Uniform Investment Adviser Law Examination
    2012-11-14

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

More in Chicago, IL

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