William Earl Monroe
Professional Summary
William Earl Monroe, who also goes by Earl Monroe, W. Earl Monroe, is a registered financial advisor currently at AULL & MONROE located in Mobile, Alabama. William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. William has worked at 1 firm and has passed the Series 65, Series 63 and Series 2 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Earl Monroe, W. Earl Monroe
Similar Advisors
NYLIFE SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NYLIFE SECURITIES LLC
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.
Similar Advisors
NYLIFE SECURITIES LLC
Years of Experience
34 years in the financial services industry
Current & Past Employments
Similar Advisors
NYLIFE SECURITIES LLC
Current Firm
AULL & MONROE | AULL & MONROE INVESTMENT MANAGEMENT CORP
Contact Information
Main Address
3658 College Ln S, Mobile, AL 36608Phone Number
(251) 342-3339# of Employees
5SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
417AUM (Assets Under Management)
$323,170,676Similar Advisors
NYLIFE SECURITIES LLC
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.
Similar Advisors
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
AULL & MONROE | AULL & MONROE INVESTMENT MANAGEMENT CORP
State Registrations and Notice Filings
(6/8/1992)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Aug 1995Similar Advisors
NYLIFE SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view William Earl Monroe's CRS (Customer Relationship Summary).
Similar Advisors
NYLIFE SECURITIES LLC
