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