Michael Charles Montgomery

CRD 1302606 · Morgan Stanley · Santa Barbara, CA

IA RegisteredBroker

Also appears in the source record as: Mike Charles Montgomery

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (16): Arizona · California · Colorado · Florida · Hawaii · Illinois · Iowa · Massachusetts · Michigan · Missouri · Montana · Nevada · Oregon · Texas · Utah · Washington
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1302606 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (10)

From the source registration record · current first

Morgan StanleyCurrent
Santa Barbara, CA · IA capacity

May 5, 2017 → present
Wells Fargo Clearing Services, LLC
BD capacity

Nov 6, 2006 → May 8, 2017
Wells Fargo Clearing Services, LLC
IA capacity

Nov 6, 2006 → May 8, 2017
Ubs Financial Services Inc.
IA capacity

Jun 21, 2001 → Nov 21, 2006
Ubs Financial Services Inc.
BD capacity

Jun 1, 2001 → Nov 21, 2006
A. G. Edwards & Sons, Inc.
BD capacity

May 30, 1995 → Jun 6, 2001
Prudential Securities Incorporated
BD capacity

Dec 2, 1991 → Jun 1, 1995
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jul 13, 1988 → Dec 5, 1991
Shearson Lehman Hutton Inc.
BD capacity

Feb 15, 1988 → Jul 20, 1988
E. F. Hutton & Company Inc
BD capacity

Sep 24, 1984 → Feb 15, 1988

Source & corrections

Where this page comes from

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