0001614281-16-000017.txt : 20160404 0001614281-16-000017.hdr.sgml : 20160404 20160404165925 ACCESSION NUMBER: 0001614281-16-000017 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160404 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Montague DeRose & Associates, LLC CENTRAL INDEX KEY: 0001614281 IRS NUMBER: 954529722 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-02083 FILM NUMBER: 161551508 BUSINESS ADDRESS: STREET 1: 2801 TOWNSGATE ROAD STREET 2: SUITE 221 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: 805-496-2211 MAIL ADDRESS: STREET 1: 2801 TOWNSGATE ROAD STREET 2: SUITE 221 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 MA-I 1 primary_doc.xml MA-I 0001614281 XXXXXXXX maria kaufman 973-618-9500 mkaufman@alternativereg.com mkaufman@alternativereg.com N N Michael Dennis Kremer 002746386 N 1 0001614281 Montague DeRose & Associates, LLC 03-31-2016 N 867-00281 LOCATED SUPERVISED 03-31-2016 2801 TOWNSGATE ROAD SUITE 221 WESTLAKE VILLAGE CA 91361 03-2016 Montague DeRose and Associates, LLC West Lake Village CA 91361 Y N Senior Vice President 01-2016 03-2016 Hilltop Securities Dallas TX 75270 Y Y Director 05-2005 01-2016 First Southwest Company, LLC Dallas TX 75201 Y Y Senior Vice President N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 04-04-2016 Kimberly McManus President of ARS