Scott J. Monroe

TOWNELEY CAPITAL MANAGEMENT

Laguna Hills, CA 92653

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CRD#: 2510466

Professional summary

Scott Jolyon Monroe, CFA, CFP® is a registered financial advisor currently at TOWNELEY CAPITAL MANAGEMENT, INC. located in Laguna Hills, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Scott has worked at 4 firms and has passed the Series 63, Series 65, SIE 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.

Name of Outside Business: N/A; Investment Related: No; Address of Outside Business: Keller, TX; Nature of Outside Business: Rental Property; Position: Owner; Start Date:4/17/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Property is managed by my wife. Name of Outside Business: Rental Property; Investment Related: No; Address of Outside Business: San Clemente, CA; Nature of Outside Business: Rental Property; Position: Owner; Start Date:4/17/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: My wife manages the property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Jolyon Monroe'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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Experience

Current

September 5, 2023 - Present

TOWNELEY CAPITAL MANAGEMENT, INC.

Office #1: 23197 La Cadena Drive Suite 103, Laguna Hills, CA 92653

RIA

CRD#: 169863

Laguna Hills, CA

Past

October 31, 2005 - January 6, 2021

TD AMERITRADE, INC.

CRD#: 7870

SAN CLEMENTE, CA

Past

August 21, 2003 - October 7, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

June 27, 2002 - July 1, 2003

CONDOR CAPITAL WEALTH MANAGEMENT

RIA

CRD#: 104920

MARTINSVILLE, NJ

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".

TOWNELEY CAPITAL MANAGEMENT, INC.

TOWNELEY CAPITAL MANAGEMENT, INC. | TOWNELEY INVESTMENT MANAGEMENT, INC.

CRD#: 169863 / SEC#: 801-78957

RIA

Registered Investment Advisory firm - (12/19/2013 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

California
(9/5/2023)

IAR

Texas
(9/5/2023)

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: 10/30/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/30/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2003

General Securities Representative Examination

Current Firm

TOWNELEY CAPITAL MANAGEMENT, INC.

TOWNELEY CAPITAL MANAGEMENT, INC. | TOWNELEY INVESTMENT MANAGEMENT, INC.

CRD#: 169863 / SEC#: 801-78957

RIA

Registered Investment Advisory firm - (12/19/2013 Approved)

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Contact information

Main Address

23197 La Cadena Drive Suite 103, Laguna Hills, CA 92653

Mailing Address

Phone number

(949) 837-3580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOWNELEY CAPITAL MANAGEMENT, INC. DISCLOSURE BROCHURE (4/28/2025)

Regulatory assets under management

Total Number of Accounts	423
AUM (Assets Under Management)	$ 1,024,211,665

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

Scott J. Monroe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Jolyon Monroe's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

FIDELITY BROKERAGE SERVICES LLC

CONDOR CAPITAL WEALTH MANAGEMENT

Primary Firm SEC Registration

TOWNELEY CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/30/2003

Series 65

Date: 4/30/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/19/2003

Current Firm

TOWNELEY CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWNELEY CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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