Charles Daniel Montgomery
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Charles Daniel Montgomery is an investment adviser representative with LPL Financial LLC in Nashville, TN, where they have been registered since 2021. They have worked in the securities industry since 2011 and were previously registered with Waddell & REED. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Tennessee and Texas.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Tennessee, Texas
- Broker:
16 states and territories
Alabama, District of Columbia, Florida, Georgia, Indiana, Iowa, Kentucky, Maine, Mississippi, Nebraska, North Carolina, Ohio, South Carolina, Tennessee, Texas, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Waddell & REED, Inc.Jun 2011 – Jul 2021Nashville, TN
- Various Insurance Carriers FOR W&r Insurance AgenciesJul 2011 – Jul 2021Nashville, TN
- GOP Minority Coalition OF Middle TennesseeJun 2013 – Dec 2019Nashville, TN
- Montgomery Music ManagementJan 2014 – Jan 2019Nashville, TN
- Davidson County Republican PartyApr 2015 – Jul 2021Nashville, TN
- University OF Alabama Delta Sigma PHI FraternityNov 2016 – Jul 2021Tuscaloosa, AL
- Sinor Marcum GroupOct 2017 – Jul 2021Mt. Juliet, TN
- Charles Montgomery FOR Executive CommitteeApr 2020 – Sep 2020Nashville, TN
- TRP State Executive CommitteeSep 2020 – Jul 2021Nashville, TN
- LPL Financial LLCJul 2021 – no end date reportedNashville, TN
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Charles Daniel Montgomery has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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