0001614281-21-000022.txt : 20211103 0001614281-21-000022.hdr.sgml : 20211103 20211103083237 ACCESSION NUMBER: 0001614281-21-000022 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 PALATT,JAMES,GAVIN, FILED AS OF DATE: 20211102 DATE AS OF CHANGE: 20211103 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: 211373831 BUSINESS ADDRESS: STREET 1: 30700 RUSSELL RANCH ROAD STREET 2: SUITE 250 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91362 BUSINESS PHONE: 805-496-2211 MAIL ADDRESS: STREET 1: 30700 RUSSELL RANCH ROAD STREET 2: SUITE 250 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91362 MA-I 1 primary_doc.xml MA-I 0001614281 XXXXXXXX Kenneth McManus 9736189508 kenmcmanus@alternativereg.com N N James Gavin Palatt 1880455 N 1 0001614281 Montague DeRose & Associates, LLC 09-27-2021 N 867-00281 SUPERVISED 09-27-2021 2175 N. California Blvd SUITE 422 WALNUT CREEK CA 94596 LOCATED 09-27-2021 09-2021 Montague DeRose & Associates, LLC Westlake Village CA 91362 Y N Managing Director 06-2020 10-2021 T.E. Laird Securities, LLC ST.PAUL MN 55104 N Y Managing Director - still employed with T.E. Laird but due to limitations of the form it won't allow for two current positions 08-2018 10-2021 American Water Service Company CAMDEN NJ 08102 N N Senior Principal 08-1993 06-2018 Wells Fargo Securities, LLC CHARLOTTE NC 28202 N Y Managing Director and Manager of Quantitative Structuring Y 06-2020 T.E. Laird Securities, LLC 79 Otis Ave. ST. PAUL MN 55104 N Y Broker Dealer Managing Director 20 Quantitative Structuring/Modeling 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 11-02-2021 KImberly McManus President, Alternative Regulatory Solutions LLC