EM
Eric Monroe
AURORA PRIVATE WEALTH
Uniondale, NY 11553
Some features on this profile are disabled
CRD#: 1820636
EM
Professional summary
Eric Monroe, AIF®, who also goes by Eric Lawrence Monroe, is a registered financial advisor currently at AURORA PRIVATE WEALTH, INC. located in Uniondale, New York and APW CAPITAL, INC. located in Uniondale, New York.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Eric has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Lawrence Monroe
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.
1-Standard Pension Services, LLC; Garden City, NY; Service description: Retirement plan & benefits consulting, TPA's for qualified plans; Start date: 03/2008; Title: Sr. Associate; Duties: Retirement plan consulting, insurance sales and consulting. Liaison for retirement plan clients, provide administrative direction to clients/participants, build and maintain client relationships.; Time spent: 20%. 2-Eric Monroe; Garden City, NY; Service description: As an independent insurance broker; Start date: 1993; Title: Broker; Duties: Sell fixed insurance products-life, health & disability; Time spent: 30%. 3-P.I.E. Facilities of New York; New York, NY; Service description: Insurance sales/products; Start date: 1099 N/A; Title: Broker; Duties: Sales/Broker; Time spent: 5%. 4-Professional Group Plans; Hauppage, NY; Service description: Insurance sales/products; Start date: 03/2008; Title: Broker/Sales; Duties: Sales/Broker; Time spent: 5%. 5 - Aurora Private Wealth, Inc; RIA; Garden City, NY; Service description and Duties: conduct investment advisory services - affiliated firm is APW Capital, Inc.; Title: Investment Advisor; Time spent: 40 hours/week. 6- E Monroe Consulting, Inc, Investment related:No, 30 COMBES DR, MANHASSET, NY, 11030, non-security based insurance related business only. health, life, di, ltc, annuity. doing that biz in my name only now, just placing under corp for tax purposes, Pres, 04/08/2022, 24hrs a day, business development 7- Wellness plans, Investment related:No, 30 COMBES DR, MANHASSET, NY, 11030, Selling a wellness benefit to businesses. Not insurance or securities related. Employee benefit only., Referral provider, 02/24/2025, 1hr week, sell wellness program to businesses
CRS (Client Relationship Summary) - RIA
Click below to view Eric Monroe's 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®
Experience
Current
May 10, 2019 - Present
AURORA PRIVATE WEALTH, INC.
Office #1: 333 Earle Ovington Blvd Suite 510, Uniondale, NY 11553RIA
CRD#: 281604
Uniondale, NY
Current
April 25, 2017 - Present
APW CAPITAL, INC.
Office #1: 333 Earle Ovington Blvd., Suite 510, Uniondale, NY 11553BD
CRD#: 43814
Uniondale, NY
Past
February 20, 2008 - May 5, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GARDEN CITY, NY
Past
June 7, 2006 - December 31, 2007
UNDERWRITERS EQUITY CORPORATION
BD
CRD#: 36537
HARRISBURG, PA
Past
October 2, 2003 - December 31, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAKE SUCCESS, NY
Past
July 23, 2001 - January 6, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
November 20, 2000 - June 29, 2001
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
June 11, 1999 - November 16, 2000
BARRON CHASE SECURITIES, INC.
BD
CRD#: 18969
BOCA RATON, FL
Past
April 5, 1999 - April 14, 1999
BARRON CHASE SECURITIES, INC.
BD
CRD#: 18969
Past
January 10, 1997 - April 8, 1999
TAYLOR STUART FINANCIAL, INC.
BD
CRD#: 39025
GREAT NECK, NY
Past
September 7, 1994 - December 4, 1996
KENSINGTON WELLS INCORPORATED
BD
CRD#: 30570
Past
July 5, 1988 - August 19, 1994
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
District of Columbia(8/19/2025)
RR
Florida(4/25/2017)
RR
Hawaii(5/25/2017)
RR
Minnesota(5/18/2017)
RR
New Jersey(4/25/2017)
RR
New York(4/25/2017)
IAR
New York(7/16/2021)
RR
Texas(7/27/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Enterprise Drive Suite 504, Rockaway, NJ 07866
Mailing Address
Phone number
(973) 394-0404
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,843 |
| AUM (Assets Under Management) | $ 395,308,639 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
