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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

VINCENT CONRAD MONTGOMERY

Advisor at WELLS FARGO ADVISORS

LEXINGTON, KY

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Search this name across graphsid dfx:ria:afe08f60-30f2-1ff2-0bd2-38f52ac30ac5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 23, 2016 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: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Dec 22, 2016
First registration: Dec 23, 2016
Dual registered: yes, broker-dealer
Other names: VINCENT MONTGOMERY|VINCENT CONRAD MONTGOMERY
IAPD individual key: 6686156

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
WELLS FARGO ADVISORS	Wirehouse	Oct 29, 2025	n/a	yes	LEXINGTON, KY	Current employment
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.	Independent wealth	Jan 13, 2025	Jan 27, 2025	no	NICHOLASVILLE, KY	Previous registration
FWG INVESTMENTS, LLC	Independent wealth	Jul 26, 2019	Feb 12, 2025	no	LEXINGTON, KY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 23, 2016	Jul 15, 2019	no	LEXINGTON, KY	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
FWG INVESTMENTS, LLC	SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.	Feb 12, 2025	Jan 13, 2025	-30	Firm change	RIA to RIA
SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.	WELLS FARGO ADVISORS	Jan 27, 2025	Oct 29, 2025	275	Firm change	RIA to wirehouse
WELLS FARGO ADVISORS	FWG INVESTMENTS, LLC	Jul 15, 2019	Jul 26, 2019	11	Firm change	Wirehouse to RIA

Relationships

Registered with (3)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 23, 2016 to Jul 15, 2019factForm ADV
→ FWG INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 26, 2019 to Feb 12, 2025factForm ADV
→ SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.Registered adviserregistration: previous registration
Jan 13, 2025 to Jan 27, 2025factForm ADV

Dated events

Occurred
Feb 12, 2025
Advisor changed firm
Vincent Conrad Montgomery left Fwg Investments, Llc for Spectrum Financial Alliance, Ltd., L.L.C. (registered 2025-01-13)
Form ADVobserved 6 days ago
Occurred
Jan 27, 2025
Advisor changed firm
Vincent Conrad Montgomery left Spectrum Financial Alliance, Ltd., L.L.C. for Wells Fargo Advisors (registered 2025-10-29)
Form ADVobserved 6 days ago