Claudine P. Schrock
Professional summary
Claudine Patrice Schrock, CFP®, who also goes by Claudine Patrice Lafavre, is a registered financial advisor currently at MONTIS FINANCIAL, LLC located in Waltham, Massachusetts.
Claudine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Claudine has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Claudine Patrice Schrock's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
MONTIS FINANCIAL, LLC
Office #1: 230 Third Avenue Floor 5, Waltham, MA 02451September 9, 2015 - June 5, 2023
RWA WEALTH PARTNERS
June 30, 2011 - July 11, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
MONTIS FINANCIAL, LLC
CRD#: 163986 / SEC#: 801-76534
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/30/2023)
Exams
Current Firm
MONTIS FINANCIAL, LLC
CRD#: 163986 / SEC#: 801-76534
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,937 |
| AUM (Assets Under Management) | $ 1,012,415,189 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/17/2024 | ||
| 03/15/2024 | ||
| 01/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
MONTIS FINANCIAL, LLC
CRD#: 163986Waltham, MA 02451TRUST BUT VERIFY
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