Montague DeRose and Associates, LLC

Regulatory Compliance

Montague DeRose and Associates, LLC is an Independent Registered Municipal Advisor (“IRMA”) for purposes of the Securities and Exchange Commission’s (“SEC”) rules regarding the Registration of Municipal Advisors (“SEC Rules”). The firm is also registered with the Municipal Securities Rulemaking Board.

As of this date, the following Montague DeRose and Associates employees are “Associated Individuals” as defined by the SEC Rules:

  • Bemis, James
  • Grubbs, Brian
  • Kremer, Mike
  • Laws, William
  • McInnes, Colleen
  • Miller, Josepha
  • Montague, Douglas
  • Perdue, Frank
  • Perkins, Natalie
  • Rai, Shaun
  • Sosha, Nihaara
  • Yang, Chia-Jung
  • Yee, Annette

 

Nihaara Sosha was employed within the last two years (until February 27, 2018) by Hilltop Securities Inc.  Until February 27, 2020, she will not participate in the review of any solicited or unsolicited proposals received from Hilltop Securities Inc. or any other municipal advisory activity in which Hilltop Securities Inc. is relying on the IRMA Exemption.

None of the other Associated Individuals have been associated with a broker-dealer within two years of the date of this notice.