Michael Paul Montaldo

CRD 5069251 · Charles Schwab & Co., Inc. · Mt Kisco, NY

IA RegisteredBroker

Also appears in the source record as: Michael P Montaldo; Michael Montaldo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 9Series 10Series 24Series 66Series 63
Registered states (2): New York · Texas
Years in the industry (source record): 19
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Mt Kisco, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Mt Kisco, NY · BC capacity

start not retrieved → present
Td Ameritrade, Inc.
Scarsdale, NY · BC capacity

Dec 22, 2023 → Jul 29, 2024
E*trade Securities LLC
New York, NY · BC capacity

Apr 28, 2009 → Aug 21, 2023
E*trade Capital Management, LLC
New York, NY · IA capacity

Apr 28, 2009 → Aug 18, 2023
Morgan Stanley
New York, NY · IA capacity

Jan 4, 2023 → Aug 17, 2023
Morgan Stanley
New York, NY · BC capacity

Jan 3, 2023 → Aug 17, 2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · IA capacity

Feb 26, 2007 → Dec 22, 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Feb 13, 2007 → Dec 22, 2008
National Securities Corporation
New York, NY · BC capacity

Mar 17, 2006 → Nov 29, 2006
S.W. Bach & Company
New York, NY · BC capacity

Jan 1, 2006 → Mar 15, 2006

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5069251 ↗ FINRA BrokerCheck record for CRD 5069251 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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