Montgomery Securities
Industry: Bank
DescriptionMontgomery Securities was an investment bank based in San Francisco, California, that specialized in high technology and health care sectors. The firm was founded in 1978 by Thom Weisel. The bank was acquired by NationsBank Corporation on June 30, 1997. Founder: Thom Weisel Founded: 1978 Headquarters: San Francisco, CA Successor: Banc of America Securities Ceased operations: 1997 Type of business: Investment banking
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Montgomery Securities Employees
Employee
Years
Job
Industry
Carol Roth Carol Roth's Montgomery Securities Experience 1995 - 2000
Job CNBC Contributor (TV), Radio Host, Recovering Investment Banker, NY Times Bestselling Author & Brand Spokesperson
Industry Investment Banking
Experience
CNBC February 2013 - Present
CarolRoth.com September 2009 - Present
Intercap Merchant Partners 2004 - Present
WGN Radio December 2012 - June 2013
Montgomery Securities 1995 - 2000
Banc of America Securities 1995 - 2000
Skills
On Air Talent, Television, Spokesperson, Content Development, Online Content Creation, Media Spokesperson, Licensing, Conference Speaking, Mergers, Joint Ventures, Business Strategy, Loyalty Programs, Monetization, Start-ups, Public Speaking, Customer Loyalty, Writing, Corporate Finance, Negotiation, Strategy Development, Business Planning, IPO, Content Creation, Strategic Partnerships, Published Author, Small Business, Influencer Marketing, Blogging, New Business Development, Brand Loyalty, Strategy
Education
University of Pennsylvania - The Wharton School 1991 — 1995
Bachelor of Science (B.S.), Finance and Management
Deerfield High School 1987 — 1991
CNBC February 2013 - Present
CarolRoth.com September 2009 - Present
Intercap Merchant Partners 2004 - Present
WGN Radio December 2012 - June 2013
Montgomery Securities 1995 - 2000
Banc of America Securities 1995 - 2000
Skills
On Air Talent, Television, Spokesperson, Content Development, Online Content Creation, Media Spokesperson, Licensing, Conference Speaking, Mergers, Joint Ventures, Business Strategy, Loyalty Programs, Monetization, Start-ups, Public Speaking, Customer Loyalty, Writing, Corporate Finance, Negotiation, Strategy Development, Business Planning, IPO, Content Creation, Strategic Partnerships, Published Author, Small Business, Influencer Marketing, Blogging, New Business Development, Brand Loyalty, Strategy
Education
University of Pennsylvania - The Wharton School 1991 — 1995
Bachelor of Science (B.S.), Finance and Management
Deerfield High School 1987 — 1991
John Furlan John Furlan's Montgomery Securities Experience January 1900 - January 1900
Job Investment professional
Industry Financial Services
Experience
Hedge Fund April 1900 - April 1900
Several hedge funds March 1900 - March 1900
Goldman Sachs February 1900 - February 1900
Montgomery Securities January 1900 - January 1900
Skills
Portfolio Management, Asset Allocation, Wealth Management, Alternative Investments, Financial Advisory, Hedge Funds, Risk Management, Market Risk, ETFs, Index Funds, Financial Modeling, Financial Analysis, Financial Reporting, Financial Risk, Equity Research, Risk Analysis, Portfolio Construction, Portfolio Optimization, Portfolio Performance..., Investment Management, Investment Strategies
Education
Wharton School, University of Pennsylvania
MBA, Finance
Hedge Fund April 1900 - April 1900
Several hedge funds March 1900 - March 1900
Goldman Sachs February 1900 - February 1900
Montgomery Securities January 1900 - January 1900
Skills
Portfolio Management, Asset Allocation, Wealth Management, Alternative Investments, Financial Advisory, Hedge Funds, Risk Management, Market Risk, ETFs, Index Funds, Financial Modeling, Financial Analysis, Financial Reporting, Financial Risk, Equity Research, Risk Analysis, Portfolio Construction, Portfolio Optimization, Portfolio Performance..., Investment Management, Investment Strategies
Education
Wharton School, University of Pennsylvania
MBA, Finance
David Sylvester CFA, CFP® David Sylvester CFA, CFP®'s Montgomery Securities Experience 1986 - 2000
Job President at CAVU Wealth Advisors
Industry Financial Services
Experience
CAVU Wealth Advisors September 2009 - Present
Morrison & Frazier 2005 - 2007
Harmony Airways 2004 - 2004
Montgomery Securities 1986 - 2000
Education
University of Richmond - Robins School of Business 1973 — 1977
BS, Accounting, Finance
CAVU Wealth Advisors September 2009 - Present
Morrison & Frazier 2005 - 2007
Harmony Airways 2004 - 2004
Montgomery Securities 1986 - 2000
Education
University of Richmond - Robins School of Business 1973 — 1977
BS, Accounting, Finance
Mark Spenner Mark Spenner's Montgomery Securities Experience July 1998 - July 2000
Job
Industry Computer Games
Experience
Rumble July 2011 - Present
Electronic Arts January 2008 - July 2011
BioWare / Pandemic January 2006 - December 2007
EMI Music March 2003 - January 2006
Charles Schwab October 2000 - June 2002
Montgomery Securities July 1998 - July 2000
Skills
Financial Analysis, Video Games, Marketing Strategy, Game Development, Game Design, Business Strategy, Analysis, Corporate Development, New Business Development, Corporate Finance, Product Development, Production, Strategy, Strategic Partnerships, Start-ups, Mobile Games, Mobile Devices, Business Intelligence, Social Games
Education
University of Pennsylvania - The Wharton School 1994 — 1998
Bachelor of Science in Economics, Concentration in Finance
Rumble July 2011 - Present
Electronic Arts January 2008 - July 2011
BioWare / Pandemic January 2006 - December 2007
EMI Music March 2003 - January 2006
Charles Schwab October 2000 - June 2002
Montgomery Securities July 1998 - July 2000
Skills
Financial Analysis, Video Games, Marketing Strategy, Game Development, Game Design, Business Strategy, Analysis, Corporate Development, New Business Development, Corporate Finance, Product Development, Production, Strategy, Strategic Partnerships, Start-ups, Mobile Games, Mobile Devices, Business Intelligence, Social Games
Education
University of Pennsylvania - The Wharton School 1994 — 1998
Bachelor of Science in Economics, Concentration in Finance
Bryan Rutberg Bryan Rutberg's Montgomery Securities Experience March 1996 - December 1998
Job
Industry Investment Banking
Experience
Rutberg & Company, LLC April 2001 - Present
UBS Warburg January 1999 - October 2000
Montgomery Securities March 1996 - December 1998
Education
University of Pennsylvania 1987 — 1991
BA
Rutberg & Company, LLC April 2001 - Present
UBS Warburg January 1999 - October 2000
Montgomery Securities March 1996 - December 1998
Education
University of Pennsylvania 1987 — 1991
BA
Matthew Hipps's Montgomery Securities Experience 1993 - 2002
Job President at FlyBuy Technologies
Industry Consumer Services
Experience
FlyBuy Technologies October 2014 - Present
All Things Youth Sports April 2014 - Present
CPCM February 2011 - December 2013
MorganStanley SmithBarney May 2002 - February 2011
Banc of America Securities 1997 - 2002
Montgomery Securities 1993 - 2002
Skills
IRAs, Alternative Investments, Series 7, Series 63, Investments, Management, Strategic Planning, Business Development, Asset Allocation, Asset Management, Strategic Partnerships, Securities, Strategy, Wealth Management, Hedge Funds, Equities, Mergers & Acquisitions, Entrepreneurship, Start-ups, Portfolio Management, Fixed Income, Retirement Planning
Education
University of Pennsylvania 1987 — 1992
FlyBuy Technologies October 2014 - Present
All Things Youth Sports April 2014 - Present
CPCM February 2011 - December 2013
MorganStanley SmithBarney May 2002 - February 2011
Banc of America Securities 1997 - 2002
Montgomery Securities 1993 - 2002
Skills
IRAs, Alternative Investments, Series 7, Series 63, Investments, Management, Strategic Planning, Business Development, Asset Allocation, Asset Management, Strategic Partnerships, Securities, Strategy, Wealth Management, Hedge Funds, Equities, Mergers & Acquisitions, Entrepreneurship, Start-ups, Portfolio Management, Fixed Income, Retirement Planning
Education
University of Pennsylvania 1987 — 1992
Mike Bass's Montgomery Securities Experience 1996 - 1997
Job SVP Security Architecture and Standards
Industry Computer & Network Security
Experience
Citi 2014 - Present
Citi 2012 - 2014
Citigroup September 2006 - 2012
Entrust Inc April 2003 - September 2006
Baltimore Technologies 1999 - 2003
Certicom 1998 - 1999
PGP 1997 - 1998
Montgomery Securities 1996 - 1997
United States Air Force 1989 - 1994
Skills
SOX, GLBA, Application Security, Identity Management, PKI, ITIL, IPSec, PCI DSS, FFIEC, Smart Cards, Enterprise Risk..., Compliance, Sarbanes-Oxley Act, Security, Information Security, Computer Security, Governance, Security Architecture..., Enterprise Software, Integration, Information Security..., Security Policy, Business Continuity, CISSP, Vulnerability Assessment, Data Privacy, ISO 27001, Vulnerability Management, Encryption, Cryptography, Data Security
Education
University of Phoenix
Bachelor's degree, Information Technology
Citi 2014 - Present
Citi 2012 - 2014
Citigroup September 2006 - 2012
Entrust Inc April 2003 - September 2006
Baltimore Technologies 1999 - 2003
Certicom 1998 - 1999
PGP 1997 - 1998
Montgomery Securities 1996 - 1997
United States Air Force 1989 - 1994
Skills
SOX, GLBA, Application Security, Identity Management, PKI, ITIL, IPSec, PCI DSS, FFIEC, Smart Cards, Enterprise Risk..., Compliance, Sarbanes-Oxley Act, Security, Information Security, Computer Security, Governance, Security Architecture..., Enterprise Software, Integration, Information Security..., Security Policy, Business Continuity, CISSP, Vulnerability Assessment, Data Privacy, ISO 27001, Vulnerability Management, Encryption, Cryptography, Data Security
Education
University of Phoenix
Bachelor's degree, Information Technology
Roger Levine's Montgomery Securities Experience 1989 - 1994
Job Managing Director at CTBNL
Industry Investment Banking
Experience
CTBNL December 2013 - Present
ASCENDIANT CAPITAL MARKETS LLC December 2011 - December 2013
Viewpoint Securities April 2006 - December 2011
Pacific Crest Securities May 2001 - December 2005
Preferred Capital Markets January 2000 - May 2001
Security Traders Association January 1999 - January 2000
NASD Market Regulation Committee January 1997 - December 1999
Volpe Brown Whelan 1994 - 1999
San Francisco Securities Traders Association December 1997 - December 1998
Montgomery Securities 1989 - 1994
Skills
Equity Trading, Trading Systems, Capital Markets, Investment Banking, Deal Structuring, Alternative Investments, Capital Introduction, Venture Financing, Sales Process, Sales Management, Vendor Relations, Customer Acquisition, Negotiation, Capital, Trading, IPO, Start-ups, Securities, Equity Research, Hedge Funds, Investments
Education
University of Rochester 1974 — 1978
CTBNL December 2013 - Present
ASCENDIANT CAPITAL MARKETS LLC December 2011 - December 2013
Viewpoint Securities April 2006 - December 2011
Pacific Crest Securities May 2001 - December 2005
Preferred Capital Markets January 2000 - May 2001
Security Traders Association January 1999 - January 2000
NASD Market Regulation Committee January 1997 - December 1999
Volpe Brown Whelan 1994 - 1999
San Francisco Securities Traders Association December 1997 - December 1998
Montgomery Securities 1989 - 1994
Skills
Equity Trading, Trading Systems, Capital Markets, Investment Banking, Deal Structuring, Alternative Investments, Capital Introduction, Venture Financing, Sales Process, Sales Management, Vendor Relations, Customer Acquisition, Negotiation, Capital, Trading, IPO, Start-ups, Securities, Equity Research, Hedge Funds, Investments
Education
University of Rochester 1974 — 1978
Brian Gemmer's Montgomery Securities Experience 1997 - 1999
Job Principal and Portfolio Manager at Gemmer Asset Management LLC
Industry Financial Services
Experience
Gemmer Asset Management LLC January 2006 - Present
GlobeFlex Capital November 1999 - September 2005
Montgomery Securities 1997 - 1999
Skills
Investments, Asset Allocation, Mutual Funds, Investment Management, ETFs, Asset Management, Wealth Management, Portfolio Management, Alternative Investments, Practice Management, Marketing Strategy
Education
University of Pennsylvania 1993 — 1997
Bachelor’s Degree, Economics, magna cum laude
Gemmer Asset Management LLC January 2006 - Present
GlobeFlex Capital November 1999 - September 2005
Montgomery Securities 1997 - 1999
Skills
Investments, Asset Allocation, Mutual Funds, Investment Management, ETFs, Asset Management, Wealth Management, Portfolio Management, Alternative Investments, Practice Management, Marketing Strategy
Education
University of Pennsylvania 1993 — 1997
Bachelor’s Degree, Economics, magna cum laude
John Tinker's Montgomery Securities Experience 1996 - 1999
Job Senior Media Analyst, Gabelli & Company
Industry Investment Banking
Experience
Gabelli & Company Partner, Senior Media AnalystMaxim Group2010 - Present
Steamer Capital 2008 - 2010
Sandler Capital October 2006 - September 2008
ThinkEquity Partners 2004 - 2006
Blaylock & Partners 2002 - 2004
Steamer Capital 1999 - 2002
Montgomery Securities 1996 - 1999
BOFA Securities 1996 - 1999
Furman Selz 1992 - 1996
Morgan Stanley 1987 - 1990
Skills
Private Equity, Hedge Funds, Investments, Venture Capital, Equities, Financial Modeling, Portfolio Management, Securities, Equity Research, Investment Banking, Mergers & Acquisitions, Capital Markets, Alternative Investments, Financial Services, Research, Valuation, Asset Management, Corporate Finance, Corporate Development, Bloomberg, Investor Relations, Emerging Markets
Education
University of Oxford 1975 — 1978
MA, Politics, Philosophy & Economics
Gabelli & Company Partner, Senior Media AnalystMaxim Group2010 - Present
Steamer Capital 2008 - 2010
Sandler Capital October 2006 - September 2008
ThinkEquity Partners 2004 - 2006
Blaylock & Partners 2002 - 2004
Steamer Capital 1999 - 2002
Montgomery Securities 1996 - 1999
BOFA Securities 1996 - 1999
Furman Selz 1992 - 1996
Morgan Stanley 1987 - 1990
Skills
Private Equity, Hedge Funds, Investments, Venture Capital, Equities, Financial Modeling, Portfolio Management, Securities, Equity Research, Investment Banking, Mergers & Acquisitions, Capital Markets, Alternative Investments, Financial Services, Research, Valuation, Asset Management, Corporate Finance, Corporate Development, Bloomberg, Investor Relations, Emerging Markets
Education
University of Oxford 1975 — 1978
MA, Politics, Philosophy & Economics
David Maigret's Montgomery Securities Experience October 1994 - August 1996
Job Financial Advisor / Assistant Vice President Investments at Wells Fargo Advisors, LLC
Industry Financial Services
Experience
Wells Fargo Advisors, LLC May 2002 - Present
Van Kasper & Co March 2002 - May 2002
Piper Jaffray January 2002 - May 2002
aVagear Inc January 1997 - June 1998
Charles Schwab 1995 - 1998
Montgomery Securities October 1994 - August 1996
Robertson Stephens August 1994 - September 1994
Hambrecht & Quist March 1994 - May 1994
Tomchin & Associates May 1989 - April 1993
Education
University of San Diego 1985 — 1989
Bahelor's of Business Administration, Finance
Cardinal Newman 1981 — 1985
Rincon Valley Elementary
Wells Fargo Advisors, LLC May 2002 - Present
Van Kasper & Co March 2002 - May 2002
Piper Jaffray January 2002 - May 2002
aVagear Inc January 1997 - June 1998
Charles Schwab 1995 - 1998
Montgomery Securities October 1994 - August 1996
Robertson Stephens August 1994 - September 1994
Hambrecht & Quist March 1994 - May 1994
Tomchin & Associates May 1989 - April 1993
Education
University of San Diego 1985 — 1989
Bahelor's of Business Administration, Finance
Cardinal Newman 1981 — 1985
Rincon Valley Elementary
Brett Longfield's Montgomery Securities Experience 1997 - 2000
Job Market Director at JPMorgan Securities LLC
Industry Financial Services
Experience
JPMorgan Securities LLC August 2012 - Present
Morgan Stanley Smith Barney January 2011 - August 2012
Morgan Stanley Smith Barney October 2009 - January 2011
Morgan Stanley June 2006 - October 2009
Morgan Stanley 2005 - 2006
Presidio Financial Partners 2003 - 2006
C.E. Unterberg, Towbin 2001 - 2003
Montgomery Securities 1997 - 2000
Education
University of Southern California 1993 — 1997
Bachelor of Arts (B.A.), Communication, General
Redwood High School 1989 — 1993
diploma
JPMorgan Securities LLC August 2012 - Present
Morgan Stanley Smith Barney January 2011 - August 2012
Morgan Stanley Smith Barney October 2009 - January 2011
Morgan Stanley June 2006 - October 2009
Morgan Stanley 2005 - 2006
Presidio Financial Partners 2003 - 2006
C.E. Unterberg, Towbin 2001 - 2003
Montgomery Securities 1997 - 2000
Education
University of Southern California 1993 — 1997
Bachelor of Arts (B.A.), Communication, General
Redwood High School 1989 — 1993
diploma
Charles Gabbard's Montgomery Securities Experience May 1991 - September 1995
Job Human Resources Professional
Industry Human Resources
Experience
QRS June 2002 - December 2004
QRS, Inc 2002 - 2004
Panamax September 1998 - March 2000
Brightware, Inc July 1998 - September 1998
Scopus Technology April 1996 - May 1998
Montgomery Securities May 1991 - September 1995
Education
University of Pittsburgh 1984 — 1989
QRS June 2002 - December 2004
QRS, Inc 2002 - 2004
Panamax September 1998 - March 2000
Brightware, Inc July 1998 - September 1998
Scopus Technology April 1996 - May 1998
Montgomery Securities May 1991 - September 1995
Education
University of Pittsburgh 1984 — 1989
Greg LaRoche's Montgomery Securities Experience 1996 - 1999
Job CEO and Founder, LaRoche Research Partners LLC
Industry Information Services
Experience
LaRoche Research Partners LLC 2006 - Present
LaRoche & Associates LLC 2000 - 2004
Thomas Weisel Partners 1999 - 2000
Montgomery Securities 1996 - 1999
Bank of America 1992 - 1996
Skills
New Business Development, Start-ups, Strategy, Management, Business Strategy, Entrepreneurship, Capital Markets, Business Development, Marketing Strategy
Education
University of Pennsylvania 1987 — 1990
B.A., Mathematics and Philosophy
LaRoche Research Partners LLC 2006 - Present
LaRoche & Associates LLC 2000 - 2004
Thomas Weisel Partners 1999 - 2000
Montgomery Securities 1996 - 1999
Bank of America 1992 - 1996
Skills
New Business Development, Start-ups, Strategy, Management, Business Strategy, Entrepreneurship, Capital Markets, Business Development, Marketing Strategy
Education
University of Pennsylvania 1987 — 1990
B.A., Mathematics and Philosophy
Ralph Jean's Montgomery Securities Experience 1993 - 1997
Job Investment and Financial Analyst
Industry Financial Services
Experience
Wells Fargo Securities 2012 - 2013
EPScott Outfitters, LLC 2009 - 2012
Wachovia Securities 2003 - 2008
Chartwell Investment Partners 2001 - 2003
First Union / Wachovia Securities, Inc. 1997 - 2001
Montgomery Securities 1993 - 1997
Alex. Brown & Sons, Inc 1991 - 1993
OAKLAND A's, CHARLES O. FINLEY AND CO. 1978 - 1978
Education
University of Pennsylvania 1978 — 1982
Bachelor of Arts (BA)
Syracuse University 1989 — 1991
Master of Business Administration (MBA), Accounting & Finance
Wells Fargo Securities 2012 - 2013
EPScott Outfitters, LLC 2009 - 2012
Wachovia Securities 2003 - 2008
Chartwell Investment Partners 2001 - 2003
First Union / Wachovia Securities, Inc. 1997 - 2001
Montgomery Securities 1993 - 1997
Alex. Brown & Sons, Inc 1991 - 1993
OAKLAND A's, CHARLES O. FINLEY AND CO. 1978 - 1978
Education
University of Pennsylvania 1978 — 1982
Bachelor of Arts (BA)
Syracuse University 1989 — 1991
Master of Business Administration (MBA), Accounting & Finance
Dennis McDonald's Montgomery Securities Experience 1998 - 2000
Job Managing Director Investment Strategy Group at TIAACREF
Industry Financial Services
Experience
TIAA-CREF February 2007 - Present
UBS December 2002 - May 2006
Tradeworx November 1999 - June 2002
PersonaFund 2001 - 2002
Montgomery Securities 1998 - 2000
Skills
Asset Allocation, Asset Managment, Product Development, Investment Research, Business Strategy, Portfolio Management, ETFs, Investment Strategies, Equities, Alternative Investments, Investment Management, Fixed Income, Series 7, Securities, Wealth Management, Hedge Funds, Investment Advisory, Mutual Funds, Separately Managed..., Asset Management
Education
University of Notre Dame 1989 — 1993
Bachelor of Arts (B.A.)
University of Notre Dame 1989 — 1993
Bachelor of Arts (B.A.)
TIAA-CREF February 2007 - Present
UBS December 2002 - May 2006
Tradeworx November 1999 - June 2002
PersonaFund 2001 - 2002
Montgomery Securities 1998 - 2000
Skills
Asset Allocation, Asset Managment, Product Development, Investment Research, Business Strategy, Portfolio Management, ETFs, Investment Strategies, Equities, Alternative Investments, Investment Management, Fixed Income, Series 7, Securities, Wealth Management, Hedge Funds, Investment Advisory, Mutual Funds, Separately Managed..., Asset Management
Education
University of Notre Dame 1989 — 1993
Bachelor of Arts (B.A.)
University of Notre Dame 1989 — 1993
Bachelor of Arts (B.A.)
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Federal Reserve Board
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