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SPENCER KIMBLE MONTGOMERY NFA ID: 0271838 Current Status • PRINCIPAL TEMPORARY BAR  • NFA MEMBER TEMPORARY BAR  • NFA ASSOCIATE MEMBER TEMPORARY BAR  Trading Privileges No trading privileges Regulatory Actions  Agency Number NFA 1 CFTC 1 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training No proficiency information available Doing Business As No other names History  Status Effective Date • PRINCIPAL TEMPORARY BAR 07/05/2012  • NFA MEMBER TEMPORARY BAR 07/05/2012  • NFA ASSOCIATE MEMBER TEMPORARY BAR 07/05/2012    • FLOOR BROKER WITHDRAWN 04/05/2002  • FLOOR BROKER REGISTERED 08/28/1997  • FLOOR BROKER PENDING 06/30/1997  ARJENT CAPITAL ADVISORS LLC  • ASSOCIATED PERSON WITHDRAWN 07/16/2012  • PRINCIPAL WITHDRAWN 07/16/2012  • NFA ASSOCIATE MEMBER WITHDRAWN 06/21/2012  • NFA ASSOCIATE MEMBER APPROVED 05/30/2007  • ASSOCIATED PERSON REGISTERED 05/30/2007  • PRINCIPAL APPROVED 02/26/2007  • NFA ASSOCIATE MEMBER PENDING 02/26/2007  • ASSOCIATED PERSON PENDING 02/26/2007  ARJENT CAPITAL MARKETS LLC  • PRINCIPAL WITHDRAWN 05/29/2007  • ASSOCIATED PERSON PENDING STATUS WITHDRAWN 05/29/2007  • NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN 05/29/2007  • PRINCIPAL APPROVED 02/27/2007  • NFA ASSOCIATE MEMBER PENDING 02/27/2007  • ASSOCIATED PERSON PENDING 02/27/2007  CHICAGO TRADING MANAGERS LLC  • ASSOCIATED PERSON WITHDRAWN 07/13/2012  • PRINCIPAL WITHDRAWN 07/13/2012  • NFA ASSOCIATE MEMBER WITHDRAWN 06/21/2012  • NFA ASSOCIATE MEMBER APPROVED 07/29/2008  • ASSOCIATED PERSON REGISTERED 07/29/2008  • PRINCIPAL APPROVED 07/11/2008  • NFA ASSOCIATE MEMBER PENDING 07/11/2008  • ASSOCIATED PERSON PENDING 07/11/2008  PARADIGM CAPITAL FUTURES LLC  • PRINCIPAL WITHDRAWN 01/04/2008  • PRINCIPAL APPROVED 10/17/2006  • PRINCIPAL PENDING 10/02/2006  PARADIGM CAPITAL MARKETS LLC  • PRINCIPAL WITHDRAWN 07/05/2007  • NFA ASSOCIATE MEMBER WITHDRAWN 07/05/2007  • ASSOCIATED PERSON WITHDRAWN 07/05/2007  • NFA ASSOCIATE MEMBER APPROVED 04/24/2007  • ASSOCIATED PERSON REGISTERED 04/24/2007  • PRINCIPAL APPROVED 01/23/2007  • NFA ASSOCIATE MEMBER PENDING 01/23/2007  • ASSOCIATED PERSON PENDING 01/23/2007  PRUDENTIAL EQUITY GROUP LLC  • ASSOCIATED PERSON WITHDRAWN 10/21/1996  • NFA ASSOCIATE MEMBER WITHDRAWN 10/21/1996  • ASSOCIATED PERSON REGISTERED 07/25/1996  • NFA ASSOCIATE MEMBER APPROVED 05/22/1996  • ASSOCIATED PERSON TEMPORARY LICENSE 05/22/1996