Steven William Monroe
Professional Summary
Steven William Monroe, who also goes by Steve Monroe, was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1993 - 2001. Steven had worked at 6 firms and has passed the Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steve Monroe
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
STIPEK SECURITIES | STIPEK, LESLIE CLARK | STIPEK SECURITIES, LLC
Contact Information
Established
California since 10/12/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIPEK, LESLIE CLARK | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 1200931 |
Disclosures
Regulatory Event
5Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1993About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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