Scott Montes
Chief Operating Officer and Chief Compliance Officer at Cloud Investments, LLC | Huntsville, Alabama, United States
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Scott Montes serves as the Chief Compliance Officer at Cloud Investments, LLC, where he leverages his extensive experience in the financial services industry to ensure that the firm adheres to the highest standards of compliance and regulatory requirements. With a robust background in Registered Investment Advisor (RIA) and Broker-Dealer compliance, Scott is instrumental in navigating the complex landscape of securities regulation, particularly in the realm of retirement planning. His role involves not only overseeing compliance monitoring and audit processes but also implementing strategic initiatives that enhance operational efficiency across the organization.
At Cloud Investments, Scott is currently spearheading key projects aimed at strengthening the firm’s compliance framework in alignment with SEC rules and regulations. His passion for risk management and integrity drives him to proactively identify potential compliance issues and develop effective solutions that safeguard the firm’s reputation and client trust. By fostering a culture of compliance within the organization, Scott ensures that all team members are well-versed in regulatory requirements and best practices.
Scott’s reputation as a problem-solver is complemented by his proficiency in tools such as Microsoft Excel, which he utilizes to analyze compliance data and streamline onboarding processes. His strategic vision not only enhances the firm’s compliance posture but also positions Cloud Investments as a leader in the retirement planning sector. As a dedicated professional committed to excellence, Scott Montes continues to make significant contributions to the financial services industry, ensuring that Cloud Investments remains at the forefront of compliance and operational integrity.
Chief Operating Officer and Chief Compliance Officer at Cloud Investments, LLC in January 2024 to Present
Branch Office Supervisor at Keel Point, LLC in June 2017 to January 2024
Senior Compliance Officer/Branch Examiner at ProEquities, Inc. in December 2011 to June 2017
Regional Sales Manager at Sterne Agee in June 2001 to October 2011
Financial Advisor at Securities America Inc. in December 1999 to June 2001
Financial Advisor at American Express in August 1998 to May 1999
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Chief Operating Officer
Trading
Billing
Supervision
Training
Audit
Compliance Supervisionn
Chief Compliance Officer
Retail Branch Operations
Analytical Skills
Business Relationship Management
Strategic Planning
Compliance Monitoring
Creative Problem Solving
Customer Experience
Compliance Training
Leadership
Business Development
Financial Services
Auditing
Microsoft Office
Microsoft Excel
Regulatory Compliance
Securities Regulation
Securities
Customer Service
Surveillance
Risk Management
Risk Assessment
Series 24
Hold Series 7
Series 53
U.S. Securities and Exchange Commission (SEC)
FINRA
Onboarding
Supervisory Skills
Operational Efficiency
Broker-Dealer
Operations Management
Strategic Visionary
Regulatory Requirements
Regulatory Reporting
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Discover more about Cloud Investments, LLCWhat is Scott Montes email address?
Email Scott Montes at [email protected] and [email protected]. This email is the most updated Scott Montes email found in 2026.
What is Scott Montes phone number?
Scott Montes phone number is +12059014370 and +12055270840.
How to contact Scott Montes?
To contact Scott Montes send an email to [email protected] or [email protected]. If you want to call Scott Montes try calling on +12059014370 and +12055270840. (updated on September 13, 2024)
What is Scott Montes net worth?
Scott Montes has an estimated net worth of $150,000 to $249,999
What company does Scott Montes work for?
Scott Montes works for Cloud Investments, LLC
What is Scott Montes's role at Cloud Investments, LLC?
Scott Montes is Chief Operating Officer and Chief Compliance Officer
What industry does Scott Montes work in?
Scott Montes works in the Financial Services industry.
Scott Montes Email Addresses
Scott Montes Phone Numbers
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