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Rocky Montgomery

Prospera Financial Services, INC.
39 Years of Experience
Loudon, TN
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Rocky Montgomery is a registered investment advisor at Prospera Financial Services, INC., based in Loudon, TN, with 39 years of industry experience. Rocky is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.

Prospera Financial Services, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
283 advisors
Number of Clients
19,103 clients
Average Client Portfolio
$651K average
Assets Under Management
$12.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.15%

Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

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

Location

224 Village Square, Loudon, TN, 37774

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History

Regulatory History (1)
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
January 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Rocky is an owner/agent at Financial & Tax Strategies, offering fixed annuities and life insurance since 1987, dedicating a few hours per week. Rocky also owns TN K-9 Services LLC, a drug dog training business, and spends minimal time on it.

Employment History
Current Registrations
Prospera Financial Services, INC.
September 2016 - Present · 10 yrs 1 mo
Prospera Financial Services, INC.Broker
September 2016 - Present · 10 yrs 1 mo
Previous Registrations
Capital Guardian, LLCBroker
March 2009 - September 2016 · 7 yrs 6 mos
Capital Guardian Wealth Management, LLC
March 2009 - September 2016 · 7 yrs 6 mos
Sagepoint Financial, INC.
November 2006 - March 2009 · 2 yrs 4 mos
Sagepoint Financial, INC.Broker
October 2006 - March 2009 · 2 yrs 5 mos
Investors Capital Advisory
August 2004 - October 2006 · 2 yrs 2 mos
Eastern Point Advisors INC.
February 2004 - June 2005 · 1 yr 4 mos
Investors Capital CORP.Broker
January 1995 - October 2006 · 11 yrs 9 mos
John Hancock Distributors, INC.Broker
February 1992 - January 1995 · 2 yrs 11 mos
John Hancock Mutual Life Insurance CompanyBroker
February 1992 - January 1995 · 2 yrs 11 mos
Morgan Keegan & Company, INC.Broker
January 1991 - September 1991 · 8 mos
The Equitable Life Assurance Society of the United StatesBroker
October 1987 - February 1991 · 3 yrs 4 mos
Equico Securities, INC.Broker
October 1987 - February 1991 · 3 yrs 4 mos
First Investors CorporationBroker
November 1986 - September 1987 · 10 mos
State Registrations16 states
AZCAFLGAILINKYMIMNNCPASCTNTXVAWA
AdvisorBrokerBoth

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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