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Carlos A Montoya

Merrill Lynch, Pierce, Fenner & Smith Incorporated

College Park, GA

La Jolla, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-06-30
TX RA APPROVED 2016-07-22
FL RA APPROVED 2015-02-25
  • GA RA
    APPROVED
    Since 2023-06-30
  • TX RA
    APPROVED
    Since 2016-07-22
  • FL RA
    APPROVED
    Since 2015-02-25

Branch Locations

6000 Feldwood Rd, College Park, GA 30349 • United States

7680 Girard Ave Global Human Resources- The Academy, La Jolla, CA 92037 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Lauderdale FL 05/2009 Present
Bank Of America, N.A. Weston FL 05/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-23
  • S66 Uniform Combined State Law Examination
    2015-02-23

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · College Park, GA
LINCOLN INVESTMENT · ATLANTA, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Atlanta, GA
LPL FINANCIAL LLC · ATLANTA, GA
INVESTHER FIDUCIARY SOLUTIONS, LLC · ATLANTA, GA
WELLS FARGO CLEARING SERVICES, LLC · ATLANTA, GA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ATLANTA, GA
WELLS FARGO CLEARING SERVICES, LLC · ATLANTA, GA

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