Monte J. Harrick

VALMARK ADVISERS

Irvine, CA 92618

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CRD#: 1992078

Professional summary

Monte James Harrick, who also goes by Monte J Harrick, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Irvine, California and VALMARK SECURITIES, INC. located in Irvine, California.

Monte is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Monte has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monte J Harrick

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. Fulcrum Partners, LLC, 601 S. Figuray Street, Los Angeles, CA 90017; Benefits consulting; Investment related; Start date 06/01/2017; Managing Director; Client involvement-I will meet with clients to discuss and service their deferred compensation plans; Primarily business development and then ongoing consulting on corporate deferred compensation plans; Compensation-Corporate Owned Life Insurance(COLI)is used tp fund plan liabilities and this product is variable COLI./// 2.Risen, President, Online Jewelry sales, Oversea operation/help with strategy/Help with financing, marketing, supply chain, etc, not investment related, started 12/2020, 11-20 hours per month, Any profit that is made from people going online and purchasing the necklace will be split between me and other family members///

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monte James Harrick'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®

None

Experience

Current

August 17, 2020 - Present

VALMARK ADVISERS, INC.

Office #1: 7755 Irvine Center Dr. Suite 500, Irvine, CA 92618

RIA

CRD#: 108050

Irvine, CA

Current

June 6, 2017 - Present

VALMARK SECURITIES, INC.

Office #1: 7755 Irvine Center Dr. Suite 500, Irvine, CA 92618

CRD#: 31243

Irvine, CA

Past

September 1, 2009 - June 6, 2017

FAS CORP.

CRD#: 43536

LOS ANGELES, CA

Past

June 23, 2008 - September 3, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LOS ANGELES, CA

Past

May 14, 2001 - June 12, 2008

CLARK SECURITIES, INC.

CRD#: 43803

LOS ANGELES, CA

Past

August 6, 1996 - May 14, 2001

WESTPORT FINANCIAL SERVICES, L.L.C.

CRD#: 38449

JACKSONVILLE, FL

Past

March 1, 1996 - August 8, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 15, 1994 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

November 15, 1989 - August 25, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 15, 1989 - August 25, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(6/27/2023)

California
(6/6/2017)

IAR

California
(8/17/2020)

Colorado
(8/16/2017)

Delaware
(1/3/2022)

Florida
(11/10/2021)

Georgia
(8/16/2017)

Kansas
(9/2/2021)

Michigan
(2/25/2021)

Missouri
(2/25/2022)

New Hampshire
(1/2/2024)

Ohio
(6/26/2017)

IAR

Utah
(3/2/2021)

Utah
(9/5/2023)

Vermont
(10/18/2023)

Washington
(4/28/2022)

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

State Security Law Exam

IAR

Series 65

Date: 8/10/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/13/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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.

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Advisor Monitoring

Firm Stability Insights

Monte J. Harrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monte James Harrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALMARK SECURITIES, INC.

FAS CORP.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CLARK SECURITIES, INC.

WESTPORT FINANCIAL SERVICES, L.L.C.

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2020

Series 63

Date: 10/17/1990

SIE

Date: 10/1/2018

Series 6

Date: 11/13/1989

FINRA

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

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