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Chief Compliance Officer · Highland Capital Management, LLC

Lori N. Montgomery

CRD 5573978 · Named on Form ADV at one SEC-registered adviser

At a glance

Highland Capital Management, LLC, an SEC-registered asset manager based in Memphis, TN with $3.9 billion in regulatory assets, lists Lori N. Montgomery on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Lori’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Steven WishniaPresident & CEO, Highland Capital Management, LLC
  • Michael H. TindalDirector of Taft-Hartley Services, Highland Capital Management, LLC
  • David L. ThompsonChief Investment Officer/director of Private Wealth, Highland Capital Management, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lori’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.