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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Michael Paul Montaldo

Advisor at CHARLES SCHWAB & CO., INC.

Mt Kisco, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7259e427-725e-3104-0191-9f3efcb8bd29

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 26, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 17, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jan 17, 2006
First registration: Feb 26, 2007
Dual registered: yes, broker-dealer
Other names: MICHAEL P MONTALDO|Michael Montaldo
IAPD individual key: 5069251

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 4, 2023	n/a	yes	Mt Kisco, NY	Current employment
MORGAN STANLEY	Wirehouse	Jan 4, 2023	Aug 17, 2023	no	PURCHASE, NY\|New York, NY	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Apr 28, 2009	Aug 18, 2023	no	ARLINGTON, VA\|NEW YORK, NY\|New York, NY\|New York, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 26, 2007	Dec 22, 2008	no	WHITE PLAINS, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E*TRADE CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Aug 18, 2023	Jan 4, 2023	-226	Channel change	RIA to wirehouse
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	Aug 17, 2023	Oct 4, 2023	48	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	E*TRADE CAPITAL MANAGEMENT, LLC	Dec 22, 2008	Apr 28, 2009	127	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42159:149777:NY:2023-08-15	Aug 18, 2023	Jan 4, 2023	NEW YORK, NY	Firm change after gap

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Oct 4, 2023 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 28, 2009 to Aug 18, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 4, 2023 to Aug 17, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 26, 2007 to Dec 22, 2008factForm ADV

Dated events

Occurred
Aug 17, 2023
Advisor changed firm
Michael Paul Montaldo left Morgan Stanley for Charles Schwab & Co., Inc. (registered 2023-10-04)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7259e427-725e-3104-0191-9f3efcb8bd29
First observed: Feb 26, 2007
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Michael Paul Montaldo

Advisor at CHARLES SCHWAB & CO., INC.

Mt Kisco, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7259e427-725e-3104-0191-9f3efcb8bd29

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:26 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

CHARLES SCHWAB & CO., INC.

National bd RIA

Oct 4, 2023

n/a

yes

Mt Kisco, NY

Current employment

MORGAN STANLEY

Wirehouse

Jan 4, 2023

Aug 17, 2023

PURCHASE, NY|New York, NY

Previous registration

E*TRADE CAPITAL MANAGEMENT, LLC

Former SEC adviser

Apr 28, 2009

Aug 18, 2023

ARLINGTON, VA|NEW YORK, NY|New York, NY|New York, NY

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Feb 26, 2007

Dec 22, 2008

WHITE PLAINS, NY|NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

E*TRADE CAPITAL MANAGEMENT, LLC

MORGAN STANLEY

Aug 18, 2023

Jan 4, 2023

-226

Channel change

RIA to wirehouse

MORGAN STANLEY

CHARLES SCHWAB & CO., INC.

Aug 17, 2023

Oct 4, 2023

Firm change

Wirehouse to ibd

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E*TRADE CAPITAL MANAGEMENT, LLC

Dec 22, 2008

Apr 28, 2009

127

Firm change

Other

Team

Left

Joined

From

Kind

42159:149777:NY:2023-08-15

Aug 18, 2023

Jan 4, 2023

NEW YORK, NY

Firm change after gap