Eric Monroe
AIF®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,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Lawrence Monroe
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Videos & Posts
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Contact Information
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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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Credentials
Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | 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 | BROWN & BROWN | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
Contact Information
Main Address
999 Riverview Drive Suite 201, Totowa, NJ 07512Phone Number
(973) 394-0404# of Employees
21SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,508AUM (Assets Under Management)
$374,030,968Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | 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 | BROWN & BROWN | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
State Registrations and Notice Filings
(4/25/2017)
(5/18/2017)
(4/25/2017)
(4/25/2017)
(7/16/2021)
(7/27/2021)
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.Note:This rule does not apply to broker-dealer activity.
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 Jul 1988About the Series 6 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1993SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Eric Monroe's CRS (Customer Relationship Summary).
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