Financial advisor
Ken Montal
Now at Raymond James & Associates · The Compass Group · Paramus, NJ
Registered as KENNETH G MONTAL · Kenneth G Montal · Kenneth Montal
Transactions 1
Every recorded transaction this advisor took part in, newest first.
| Transaction | From | To | Pattern | Announced | Reported Assets |
|---|---|---|---|---|---|
| The Compass Group | UBS | Raymond James & Associates | Lateral | October 15, 2026 | $245M |
Registration history
Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.
| Firm | Channel | From | To |
|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | Investment adviser | June 3, 2026 | Current |
| RAYMOND JAMES & ASSOCIATES, INC. | Broker-dealer | June 3, 2026 | Current |
| UBS FINANCIAL SERVICES INC. | Investment adviser | December 1, 2010 | June 12, 2026 |
| UBS FINANCIAL SERVICES INC. | Broker-dealer | December 1, 2010 | June 12, 2026 |
| MORGAN STANLEY SMITH BARNEY LLC | Investment adviser | June 1, 2009 | December 8, 2010 |
| MORGAN STANLEY SMITH BARNEY | Broker-dealer | June 1, 2009 | December 8, 2010 |
| MORGAN STANLEY & CO. INCORPORATED | Investment adviser | April 2, 2007 | June 1, 2009 |
| MORGAN STANLEY & CO. INCORPORATED | Broker-dealer | April 2, 2007 | June 1, 2009 |
| MORGAN STANLEY | Investment adviser | September 8, 2006 | April 2, 2007 |
| MORGAN STANLEY DW INC. | Broker-dealer | September 2, 2005 | April 2, 2007 |
| CITIGROUP GLOBAL MARKETS INC. | Broker-dealer | October 27, 2000 | September 22, 2005 |
| LEBENTHAL & CO., INC. | Broker-dealer | November 9, 1990 | October 30, 2000 |
| GARY GOLDBERG & CO., INC. | Broker-dealer | May 18, 1987 | November 26, 1990 |
| CITICORP FINANCIAL SERVICES,INC. | Broker-dealer | January 28, 1985 | April 13, 1987 |
| THOMSON MCKINNON SECURITIES INC. | Broker-dealer | October 25, 1983 | July 9, 1984 |
| NORBAY SECURITIES INC. | Broker-dealer | August 23, 1983 | November 1, 1983 |
Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.