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DAVID BAIRD MONTGOMERY NFA ID: 0212850 Current Status • NFA ASSOCIATE MEMBER TEMPORARY BAR  • NFA MEMBER TEMPORARY BAR  • PRINCIPAL TEMPORARY BAR  Regulatory Actions  Agency Number NFA 1 CFTC 0 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  Description Date SECURITY FUTURES TRAINING COMPLETED 02/06/2003 SECURITY FUTURES PRINCIPAL TRAINING COMPLETED 02/06/2003 Doing Business As No other names History  Status Effective Date • NFA ASSOCIATE MEMBER TEMPORARY BAR 08/03/2010  • NFA MEMBER TEMPORARY BAR 08/03/2010  • PRINCIPAL TEMPORARY BAR 08/03/2010    AG EDWARDS & SONS INC  • ASSOCIATED PERSON WITHDRAWN 01/04/1999  • NFA ASSOCIATE MEMBER WITHDRAWN 01/04/1999  • ASSOCIATED PERSON REGISTERED 05/19/1995  • NFA ASSOCIATE MEMBER APPROVED 04/11/1995  • ASSOCIATED PERSON TEMPORARY LICENSE 04/11/1995  • ASSOCIATED PERSON WITHDRAWN 06/09/1994  • NFA ASSOCIATE MEMBER WITHDRAWN 06/09/1994  • ASSOCIATED PERSON REGISTERED 08/15/1989  • NFA ASSOCIATE MEMBER APPROVED 06/28/1989  • ASSOCIATED PERSON TEMPORARY LICENSE 06/28/1989  BRADFORD & CO INCORPORATED  • ASSOCIATED PERSON WITHDRAWN 03/29/1995  • NFA ASSOCIATE MEMBER WITHDRAWN 03/29/1995  • ASSOCIATED PERSON REGISTERED 07/27/1994  • NFA ASSOCIATE MEMBER APPROVED 06/10/1994  • ASSOCIATED PERSON TEMPORARY LICENSE 06/10/1994  CAROMONT FUTURES INVESTMENT SERVICES INC  • PRINCIPAL WITHDRAWN 09/29/1989  • ASSOCIATED PERSON WITHDRAWN 06/30/1989  • NFA ASSOCIATE MEMBER WITHDRAWN 06/30/1989  • ASSOCIATED PERSON REGISTERED 07/14/1988  • PRINCIPAL APPROVED 07/14/1988  • NFA ASSOCIATE MEMBER APPROVED 06/15/1988  • ASSOCIATED PERSON TEMPORARY LICENSE 06/15/1988  • ASSOCIATED PERSON PENDING 06/14/1988  • NFA ASSOCIATE MEMBER PENDING 06/14/1988  • PRINCIPAL PENDING 06/14/1988  EPROFITS.COM INC  • PRINCIPAL WITHDRAWN 02/06/2008  • PRINCIPAL APPROVED 11/21/2006  • PRINCIPAL PENDING 11/21/2006  • PRINCIPAL WITHDRAWN 08/04/2005  • ASSOCIATED PERSON WITHDRAWN 08/04/2005  • PRINCIPAL APPROVED 05/16/2002  • ASSOCIATED PERSON REGISTERED 05/16/2002  • ASSOCIATED PERSON PENDING 05/07/2002  • PRINCIPAL PENDING 05/07/2002  MONTGOMERY COMMODITIES LLC  • ASSOCIATED PERSON WITHDRAWN 04/14/2009  • NFA ASSOCIATE MEMBER WITHDRAWN 04/14/2009  • PRINCIPAL WITHDRAWN 04/14/2009  • ASSOCIATED PERSON REGISTERED 01/04/1999  • NFA ASSOCIATE MEMBER APPROVED 01/04/1999  • PRINCIPAL APPROVED 01/04/1999  • ASSOCIATED PERSON PENDING 12/09/1998  • NFA ASSOCIATE MEMBER PENDING 12/09/1998  • PRINCIPAL PENDING 12/09/1998