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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

MATTHEW J MONTANA

Advisor at HIGHTOWER ADVISORS, LLC

MADISON, CT | CHICAGO, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 3, 1999 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: HIGHTOWER ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 18, 1999
First registration: Jun 3, 1999
Dual registered: yes, broker-dealer
Other names: MATTHEW J MONTANA|MATTHEW JOSEPH MONTANA
IAPD individual key: 3195575

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
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Nov 15, 2013	n/a	yes	MADISON, CT\|CHICAGO, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 29, 2008	Nov 19, 2013	no	GUILFORD, CT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 2, 2006	Jul 3, 2007	no	NORTHFORD, CT	Previous registration
NEWALLIANCE INVESTMENTS, INC.	n/a	Jan 19, 2005	May 31, 2006	no	NEW HAVEN, CT\|NEW HAVEN, CT	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Sep 10, 2002	Jan 7, 2004	no	MILFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 3, 1999	Aug 15, 2002	no	NEW HAVEN, CT	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HIGHTOWER ADVISORS, LLC	Nov 19, 2013	Nov 15, 2013	-4	Firm change	Other
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 3, 2007	Jan 29, 2008	210	Firm change	Wirehouse to wirehouse
NEWALLIANCE INVESTMENTS, INC.	WELLS FARGO ADVISORS	May 31, 2006	Jun 2, 2006	2	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	NEWALLIANCE INVESTMENTS, INC.	Jan 7, 2004	Jan 19, 2005	378	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES FINANCIAL SERVICES, INC.	Aug 15, 2002	Sep 10, 2002	26	Firm change	Other

Relationships

Registered with (5)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Nov 15, 2013 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 29, 2008 to Nov 19, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 2, 2006 to Jul 3, 2007factForm ADV
→ NEWALLIANCE INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 19, 2005 to May 31, 2006factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Sep 10, 2002 to Jan 7, 2004factForm ADV

Dated events

No dated event names this entity yet.