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MF

Monica E. Felton

THE ELLIOTT GROUP
SCOTTSDALE, AZ
Some features on this profile are disabled
CRD#: 5777169
MF

Professional summary

Monica Elliott Felton, CFP®, who also goes by Monica Elliott Felton Ms, is a registered financial advisor currently at THE ELLIOTT GROUP located in Scottsdale, Arizona.

Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Monica has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Monica Elliott Felton Ms

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.
FIXED LIFE: VARIOUS LIFE INSURANCE COMPANIES (APPROXIMATELY 80 HOURS PER MONTH, SUBSTANTIALLY ALL DURING TRADING HOURS); OWNER, MANAGING MEMBER: THE ELLIOTT GROUP FINANCIAL SOLUTIONS, LLC - PERSONAL REAL ESTATE INVESTMENTS (APPROXIMATELY 4 HOURS PER MONTH, NOT DURING TRADING HOURS)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monica Elliott Felton's 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: 2012

Experience

Current

July 31, 2013 - Present

THE ELLIOTT GROUP

RIA
CRD#: 168512
SCOTTSDALE, AZ
Past

September 9, 2010 - January 23, 2013

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
SCOTTSDALE, AZ
Past

August 4, 2010 - January 23, 2013

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
SCOTTSDALE, AZ

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
Arizona
(7/31/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/8/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/7/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/28/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TE
THE ELLIOTT GROUP
THE ELLIOTT GROUP | THE ELLIOTT GROUP.BIZ LLC

CRD#: 168512 / SEC#:

Arizona
Registered Investment Advisory firm - (7/31/2013 Approved)
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Contact information

Main Address
Scottsdale, AZ
Mailing Address
Phone number
(480) 401-2616
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

THE ELLIOTT GROUP

CRD#: 168512Scottsdale, AZ

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