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 Persons” as defined by the SEC Rules:

  • Bemis, James
  • Britt, Michael
  • Dawson, Gabrielle
  • Grubbs, Brian
  • Kremer, Mike
  • McCullough, Corey
  • McInnes, Colleen
  • Miller, Josepha
  • Montague, Douglas
  • Montague, Jeffrey
  • Perdue, Frank
  • Perkins, Natalie
  • Rai, Shaun
  • Yee, Annette

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