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Alexander Montano
34 Years of Experience
4 DisclosuresBroker
Alexander Montano is a registered investment advisor at Roth Capital Partners, LLC, based in Newport Beach, CA, with 34 years of industry experience. Alexander operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 70 clients.
Compensation
Fixed/Hourly
Firm Size
8 advisors
IM Fee
Planning only
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
888 San Clemente, Suite 400, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (4)
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Customer Dispute
January 2012Pending
Customer Dispute
December 2011Pending
Customer Dispute
February 2011Award / Judgment
Customer Dispute
January 1999Award / Judgment
Employment History
Current Registrations
Roth Capital Partners, LLC
October 2013 - Present · 12 yrs 6 mos
Roth Capital Partners, LLCBroker
October 2013 - Present · 12 yrs 6 mos
Previous Registrations
C.K. Cooper & Company, INC.
October 2007 - September 2013 · 5 yrs 11 mos
Paladin Capital Partners, INC.
August 2007 - September 2013 · 6 yrs 1 mo
C.K. Cooper & Company, INC.Broker
April 2001 - August 2013 · 12 yrs 4 mos
C.K. Cooper & Company, INC.Broker
November 1996 - January 1999 · 2 yrs 2 mos
Brookstreet Securities CorporationBroker
April 1995 - December 1997 · 2 yrs 8 mos
Titan/value Equities Group, INC.Broker
January 1995 - April 1995 · 3 mos
Baraban Securities, INC.Broker
March 1992 - August 1992 · 5 mos
Montano Securities CorporationBroker
August 1989 - December 1994 · 5 yrs 4 mos
State Registrations4 states
CANVNYTX
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.