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Allen Montgomery

Capstone Wealth Management CORP.
43 Years of Experience
Lakeland, FL
3 DisclosuresSells Insurance
View SEC Summary
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Allen Montgomery is a registered investment advisor at Capstone Wealth Management CORP., based in Lakeland, FL, with 43 years of industry experience. Allen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 288 clients with $110M in assets under management.

Capstone Wealth Management CORP.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
288 clients
Average Client Portfolio
$380K average
Assets Under Management
$109.4M

Fee Structure

Minimum Investment:$50K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.25%
$250K - $500K2.00%
$500K - $1.0M1.75%
$1.0M - $2.0M1.25%
$2M+1.00%

Fees are negotiable at the discretion of Capstone Wealth Management Corp. Firm also offers performance-based fees up to 20% of gains for qualified clients.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5120 S. Lakeland Drive, Suite 1, Lakeland, FL, 33813

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2011
Settled
Regulatory
November 1999
Final
Customer Dispute
August 1995
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Allen uses Montgomery Retirement Group LLC as a marketing and continuity DBA, offering fixed products, life insurance, and annuities. Currently, Allen spends about a quarter of his time on this, but expects to dedicate minimal time once Capstone Wealth Management becomes an RIA. He is the President and Chief Investment Strategist of Montgomery Retirement Group LLC.

Employment History
Current Registrations
Capstone Wealth Management CORP.
October 2012 - Present · 14 yrs
Previous Registrations
Cornerstone Securities LLC
July 2012 - May 2013 · 10 mos
Brookstone Investment Advisory Services
September 2006 - June 2012 · 5 yrs 9 mos
Brookstone Securities, INC.Broker
September 2006 - June 2012 · 5 yrs 9 mos
Financial Network Investment Corporation
November 2005 - September 2006 · 10 mos
Financial Network Investment CorporationBroker
November 2005 - September 2006 · 10 mos
Blue Vase Securities, LLCBroker
October 2000 - December 2005 · 5 yrs 2 mos
Blue Vase Securities, LLC
October 2000 - December 2005 · 5 yrs 2 mos
Securities America, INC.Broker
January 1990 - December 2000 · 10 yrs 11 mos
Integrated Resources Equity CorporationBroker
November 1989 - December 1989 · 1 mo
Royal Alliance Associates, INC.Broker
November 1989 - January 1990 · 2 mos
American Express Financial Advisors INC.Broker
December 1986 - June 1988 · 1 yr 6 mos
Integrated Resources Equity CorporationBroker
August 1986 - November 1989 · 3 yrs 3 mos
Ids Securities CORP.Broker
July 1986 - December 1986 · 5 mos
Ids Marketing CorporationBroker
March 1983 - September 1986 · 3 yrs 6 mos
Ids Financial Services INC.Broker
March 1983 - September 1986 · 3 yrs 6 mos
State Registrations2 states
FLWI
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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