Scott J. Monroe

SAN CLEMENTE, CA 92673

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CRD#: 2510466

Professional summary

Scott Jolyon Monroe, CFA, CFP® was a registered financial advisor .

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Scott had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

At a Glance

Always Fiduciary

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

July 24, 2026 - Present

Office #1: 100 La Pata Suite 200, San Clemente, CA 92673

SAN CLEMENTE, CA

Past

September 5, 2023 - April 6, 2026

TOWNELEY CAPITAL MANAGEMENT, INC.

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

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
(7/24/2026)

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

No current employment

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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Scott J. Monroe

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TOWNELEY CAPITAL MANAGEMENT, INC.

TD AMERITRADE, INC.

FIDELITY BROKERAGE SERVICES LLC

CONDOR CAPITAL WEALTH MANAGEMENT

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

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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