Carrie M. Temkin

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CRD#: 4868378

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.

Carrie Mae Temkin was a registered financial professional .

Carrie is a previously registered financial professional and started their career in finance in 2004. Carrie had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "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.

Rental Property; Owner; New Orleans, LA; 2006- present; approx 1 hour per month; no time during normal securities trading hours.

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®

None

Experience

Past

January 4, 2023 - June 4, 2024

MONARCH PLAN ADVISORS

RIA

CRD#: 286612

CORAL GABLES, FL

Past

November 9, 2022 - June 4, 2024

3(38) INVESTMENT FIDUCIARIES

RIA

CRD#: 298053

CORAL GABLES, FL

Past

July 6, 2010 - August 18, 2020

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

November 19, 2007 - December 31, 2009

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

CHICAGO, IL

Past

November 26, 2004 - June 28, 2007

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, 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".

MONARCH PLAN ADVISORS

3(38) INVESTMENT FIDUCIARIES | MONARCH PLAN ADVISORS | MONARCH CORPORATE ADVISORS

CRD#: 286612 / SEC#: 801-111651

RIA

Registered Investment Advisory firm - (9/8/2017 Approved)

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.

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

IAR

Series 65

Date: 11/4/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/26/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/26/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/23/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MONARCH PLAN ADVISORS

3(38) INVESTMENT FIDUCIARIES | MONARCH PLAN ADVISORS | MONARCH CORPORATE ADVISORS

CRD#: 286612 / SEC#: 801-111651

RIA

Registered Investment Advisory firm - (9/8/2017 Approved)

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Contact information

Main Address

3355 Cochran Street Suite 101, Simi Valley, CA 93063

Mailing Address

Phone number

(818) 444-0376

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-06-16 MONARCH PLAN ADVISORS FORM ADV PART 2A (6/16/2025)

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 762,465,061

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

Carrie M. Temkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

3(38) INVESTMENT FIDUCIARIES

FRANKLIN DISTRIBUTORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

ADP BROKER-DEALER, INC.

Primary Firm SEC Registration

MONARCH PLAN ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2022

Series 63

Date: 12/18/2004

Series 7TO

Date: 1/26/2024

Series 6TO

Date: 1/26/2024

SIE

Date: 10/1/2018

Series 7

Date: 9/7/2010

Series 6

Date: 11/23/2004

Current Firm

MONARCH PLAN ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONARCH PLAN ADVISORS

TRUST BUT VERIFY

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