DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Mark Anthony Montes De Oca
Feed of 09/15/2026
Also filed as Mark Montes De Oca
At current firm
3 y
since Jun 28, 2023
In the industry
13 y
since Jul 1, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Midwestern Securities Trading Co.,LLC independent RIA currentsince Jun 28, 2023 · Champaign, Il
- J.P. Morgan Securities LLC wirehouseJul 15, 2020 to Jun 10, 2023 · Bloomington, Il
- Td Ameritrade, Inc. formerFeb 27, 2018 to Sep 11, 2019 · Bloomington, Il
- Td Ameritrade Investment Management, LLC formerFeb 26, 2018 to Sep 11, 2019 · Omaha, Ne
- Scottrade Investment Management formerAug 15, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Securities LLC to Midwestern Securities Trading Co.,LLCleft Jun 10, 2023, registered Jun 28, 2023 (18 days) · Wirehouse to independent RIA
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Sep 11, 2019, registered Feb 27, 2018 (-561 days) · corporate re-registration, not a move
- Td Ameritrade, Inc. to J.P. Morgan Securities LLCleft Sep 11, 2019, registered Jul 15, 2020 (308 days) · Other
- Scottrade Investment Management to Td Ameritrade Investment Management, LLCleft Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
- Mark Anthony Montes De Oca left J.P. Morgan Securities Llc for Midwestern Securities Trading Co.,Llc (registered 2023-06-28)Jun 10, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address