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Monica Lynn Dwyer

Monica L. Dwyer

HARVEST FINANCIAL ADVISORS
West Chester, OH 45069
Some features on this profile are disabled
CRD#: 4941189
Monica Lynn Dwyer

Professional summary

Monica Lynn Dwyer, CFP®, who also goes by Monica Lynn Auciello, Nicki Auciello, Nicki Dwyer, is a registered financial advisor currently at HARVEST FINANCIAL ADVISORS, LLC located in West Chester, Ohio.

Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Monica has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Monica Lynn Auciello | Nicki Auciello | Nicki Dwyer

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.
OAA#: 36889 | Org Name:Melaleuca Inc. | Org Addr:Idaho Fallls, ID, US | Nature of Bus:Direct Sales of grocery items by mail. | Invst Rel:N | Title:Independent Marketing Rep | Duties:Hosting parties at my home to introduce others to their line of products for the home, e.g. cleaning | Start Dt:07/27/2015 | Total Hrs p/m:3 | Sec Trdng Hrs p/m:0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica Lynn Dwyer'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®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Current

April 18, 2018 - Present

HARVEST FINANCIAL ADVISORS, LLC

Office #1: 8840 Cincinnati-dayton Road, West Chester, OH 45069
RIA
CRD#: 145552
West Chester, OH
Past

July 28, 2009 - March 16, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
COVINGTON, KY
Past

October 11, 2007 - March 13, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

August 4, 2005 - September 14, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BLUE ASH, OH

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".
HF
HARVEST FINANCIAL ADVISORS, LLC
HARVEST FINANCIAL ADVISORS, LLC

CRD#: 145552 / SEC#: 801-68507

RIA
Registered Investment Advisory firm - (11/16/2007 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
Indiana
(5/2/2018)
IAR
Kentucky
(4/18/2018)
IAR
Ohio
(4/18/2018)
IAR
Pennsylvania
(1/8/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/16/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/16/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2005
General Securities Representative Examination

Current Firm

HF
HARVEST FINANCIAL ADVISORS, LLC
HARVEST FINANCIAL ADVISORS, LLC

CRD#: 145552 / SEC#: 801-68507

RIA
Registered Investment Advisory firm - (11/16/2007 Approved)
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Contact information

Main Address
8840 Cincinnati-dayton Road, West Chester, OH 45069
Mailing Address
Phone number
(513) 779-3030
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A, 2B 3-31-2025 (8/18/2025)
FORM ADV PART 2A, 2B 3-21-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts1,295
AUM (Assets Under Management)$ 582,622,483

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/16/2024
Cover Page
Report
10/23/2023
Cover Page
Report
01/18/2023
Cover Page
Report

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.

Company Information

HARVEST FINANCIAL ADVISORS, LLC

CRD#: 145552West Chester, OH 45069

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