CM
Christopher J. Monroe
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CRD#: 2651903
CM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Joseph Monroe was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
*CJM3103,LLC,4219 HAWK ISLAND DR., BRADENTON, FL 34208,05/01/2018,ONGOING,INV REL,DURING TRD/HRS,USED FOR PREMIUM FINANCING LIFE INSURANCE CONTRACT,MANAGING MEMBER*REX RULES,LLC,4219 HAWK ISLAND DRIVE, BRADENTON, FL 34208,06/16/2020,ONGOING,LLC OWNS SHARES IN SPORTS THREAD INC,MANAGING MEMBER/SOLE MEMBER,DURING TRD/HRS,NOT INV REL,0%* FAMILY MEDICAL EQUIPMENT&SUPPLY COMPANY,INC,3641 N MEADOWBROOK RD.,PEONIA,IL 61604,06/01/2001,ONGOING,NOT INV REL,PRESIDENT/OWNER,MEDICAL SUPPLY COMPANY,1-2 HRS/MTH,NOT DURING TRD/HRS*THE PLAID DAISY,4219 HAWK ISLAND DRIVE, BRADENTON, FL 34208,06/01/2001,ONGOING,NOT INV REL,MASTECTOMY SUPPLY COMPANY,PRESIDENT/OWNER,1-2 HR/MTH,NOT DURING TRD/HRS*LAKESHORE FINANCIAL GROUP PEORIA,4219 HAWK ISLAND DRIVE,BRADENTON, FL 34208,01/01/2018,ONGOING,AGENT,INSURANCE, INV REL,DURING TRD/HRS,40 HRS/WK*THE BEACH CASTLE UNIT #3,5310 GULF OF MEXICO DR,LONGBOAT KEY,FL 34228,04/01/2011,ONGOING,REAL ESTATE RENTALS,OWNER,NOT DURING TRD/HRS, INV RELATED*COURT APPOINTED SPECIAL ADVOCATES OF ILLINOIS BOARD OF DIRECTORS,4219 HAWK ISLAND DRIVE, BRADENTON, FL 34208,01/01/2020,ONGOING,QUARTERLY,CHARITABLE ORGANIZATION,BOARD OF DIRECTORS MEMBER,NOT INV,NOT DURING TRD/HRS,1-2 HRS/PER QUARTER*BROOKE,MADISYN & LOGAN FORESTIER TESTAMENTARY TRUST,1830 AUTUMN RIDGE,WASHINGTON, IL 61571,01/01/2017,ONGOING,TRUSTEE,NOT INV REL,CO-TRUSTEE OF A FAMILY TRUST FOR 3 MINOR CHILDREN,NOT DURING TRD/HRS,0%*NATIONAL LIFE,4219 HAWK ISLAND DRIVE, BRADENTON, FL 34208,12/01/2015,INV REL,AGENT,INSURANCE,40 HRS/WK*MARTELL DEEP SPRING LEGACY, LLC,1830 AUTUMN RIDGE,WASHINGTON,IL 61571,12/01/2022,ONGOING, INV REL,MEMBER,OVERSEE PROPERTY,LLC WITH CHARITABLE INTENT,NOT DURING TRD/HRS,0%*FOCUS CONSULTING GROUP,4219 HAWK ISLAND DRIVE, BRADENTON, FL 34208,11/01/2023,ONGOING,INV REL,DURING TRD/HRS,CONSULTANT,PERSONAL COACHING,SUCCESSION PLANNING,4 HR/WK*LEGACY DESIGNS,4219 HAWK ISLAND DRIVE, BRADENTON, FL 34208,01/01/2024,ONGOING,NON INV REL,REFERRAL SOURCE,NOT DURING TRD/HRS,5HRS*CHRISTOPHER MONROE,4219 HAWK ISLAND DRIVE, BRADENTON, FL 34208,3/1/24,ONGOING,NOT INV REL,POA FOR PARENTS,NOT DURING TRD/HRS,1 HR PER WK.
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®
NoneExperience
Past
October 29, 2020 - May 20, 2025
EQUITY SERVICES, INC.
RIA
CRD#: 265
BRADENTON, FL
Past
October 15, 2020 - May 20, 2025
EQUITY SERVICES, INC.
BD
CRD#: 265
BRADENTON, FL
Past
June 8, 2007 - July 28, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PEORIA HEIGHTS, IL
Past
August 8, 2005 - May 9, 2007
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PEORIA, IL
Past
March 25, 2005 - August 2, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
June 20, 2003 - September 3, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 10, 2000 - April 23, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 14, 1995 - March 28, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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".
EQUITY SERVICES, INC.
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
RIA
Registered Investment Advisory firm - SEC (7/9/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
EQUITY SERVICES, INC.
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
RIA
Registered Investment Advisory firm - SEC (7/9/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One National Life Drive, Montpelier, VT 05604
Mailing Address
One National Life Drive, Montpelier, VT 05604
Phone number
(800) 344-7437
Established
Vermont since 10/07/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
470
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
