JOSEPH JAMES MONTALBANO is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 25 ralph brach drive, wallkill, NY, 12589.
JOSEPH JAMES MONTALBANO has worked at CETERA ADVISORS LLC since November 02, 2012
Disclosure History
JOSEPH JAMES MONTALBANO has 3 Disclosure Event(s).
Date: January 19, 2007 Category: Regulatory
Date: October 13, 2006 Category: Employment Separation After Allegations Firm Name: FIRST COMMAND FINANCIAL PLANNING Termination Type: Permitted to Resign Allegations: LACK OF FULL DISCLOSURE OF NASD INVESTIGATION.
Date: April 13, 2006 Category: Employment Separation After Allegations Firm Name: AXA ADVISORS, LLC Termination Type: Discharged Allegations: REVIEW OF PURPORTED SIGNATURE DISCREPANCIES ON RISK TOLERANCE FORMS COMPLETED BY MONTALBANO. Broker Comment: RR VERBALLY ADMITTED THAT HE HAD NOT MET WITH 21 CLIENTS AND HAD SIGNED THEIR NAMES TO RISK TOLERANCE FORMS HE SUBMITTED TO THE FIRM.
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