Robert J. Monte

MONTE FINANCIAL GROUP

Guilford, CT 06437

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CRD#: 1259890

Professional summary

Robert John Monte, CPWA® is a registered financial advisor currently at MONTE FINANCIAL GROUP, LLC located in Guilford, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Robert has worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

MONTE FINANCIAL GROUP LLC: RIA: 1205 BOSTON POST ROAD, UNIT 102, GUILFORD, CT 06437, FINANCIAL ADVISOR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Monte's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CPWA^®

Certified Private Wealth Advisor

Start date: 2015-12-02

Expire date: 2023-10-31

Experience

Current

June 19, 2009 - Present

MONTE FINANCIAL GROUP, LLC

Office #1: 30 Long Hill Road, Guilford, CT 06437

RIA

CRD#: 150119

Guilford, CT

Past

June 19, 2009 - March 31, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

GUILFORD, CT

Past

June 1, 2009 - July 1, 2009

MORGAN STANLEY

RIA

CRD#: 149777

GUILFORD, CT

Past

June 1, 2009 - July 1, 2009

MORGAN STANLEY

CRD#: 149777

GUILFORD, CT

Past

September 10, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

GUILFORD, CT

Past

July 18, 1991 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

GUILFORD, CT

Past

May 19, 1988 - July 19, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 18, 1984 - June 8, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MONTE FINANCIAL GROUP, LLC

GOLDEN ASSETS, LLC | MONTE FINANCIAL GROUP, LLC

CRD#: 150119 / SEC#: 801-70207

RIA

Registered Investment Advisory firm - (6/4/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/25/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/2/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Current Firm

MONTE FINANCIAL GROUP, LLC

GOLDEN ASSETS, LLC | MONTE FINANCIAL GROUP, LLC

CRD#: 150119 / SEC#: 801-70207

RIA

Registered Investment Advisory firm - (6/4/2009 Approved)

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Contact information

Main Address

30 Long Hill Road, Guilford, CT 06437

Mailing Address

Phone number

(203) 453-6851

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MONTE FINANCIAL GROUP, LLC (3/25/2025)

Regulatory assets under management

Total Number of Accounts	459
AUM (Assets Under Management)	$ 426,568,880

Red Flags

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert J. Monte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Monte's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MONTE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/23/1984

Series 3

Date: 5/2/1984

Series 7

Date: 4/14/1984

Current Firm

MONTE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONTE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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