Michael Fine

MONARCH PLAN ADVISORS

SIMI VALLEY, CA 93063

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CRD#: 6183402

Professional summary

Michael Fine, CFP® is a registered financial advisor currently at MONARCH PLAN ADVISORS located in Simi Valley, California and 3(38) INVESTMENT FIDUCIARIES located in Simi Valley, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)INDEPENDENT INSURANCE AGENT, 40 WEST EASY ST, STE 4, SIMI VALLEY, CA, 12/2010 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 0 HRS. 2.GRACE BRETHREN SCHOOLS, 2762 AVENIDA SIMI, SIMI VALLEY, CA, 9/2016 AS SCHOOL BOARD MEMBER. NIR - 3/MO - 0/TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Fine'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

Experience

Current

September 14, 2017 - Present

MONARCH PLAN ADVISORS

Office #1: 3355 Cochran Street Suite 101, Simi Valley, CA 93063

RIA

CRD#: 286612

SIMI VALLEY, CA

Current

October 10, 2018 - Present

3(38) INVESTMENT FIDUCIARIES

Office #1: 3355 Cochran Street Suite 101, Simi Valley, CA 93063

RIA

CRD#: 298053

SIMI VALLEY, CA

Past

August 25, 2014 - December 31, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Simi Valley, CA

Past

August 25, 2014 - December 31, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Simi Valley, CA

Past

October 22, 2013 - August 25, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

WESTLAKE VILLAGE, CA

Past

June 4, 2013 - August 25, 2014

FINANCIAL TELESIS INC

CRD#: 31012

WESTLAKE VILLAGE, CA

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".

3(38) INVESTMENT FIDUCIARIES

3(38) INVESTMENT FIDUCIARIES | 3(38) INVESTMENT FIDUCIARIES INC.

CRD#: 298053 / SEC#: 801-114078

RIA

Registered Investment Advisory firm - (10/1/2018 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

California
(9/14/2017)

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: 9/16/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/3/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

3(38) INVESTMENT FIDUCIARIES

3(38) INVESTMENT FIDUCIARIES | 3(38) INVESTMENT FIDUCIARIES INC.

CRD#: 298053 / SEC#: 801-114078

RIA

Registered Investment Advisory firm - (10/1/2018 Approved)

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Contact information

Main Address

3355 Cochran Street Suite 101, Simi Valley, CA 93063

Mailing Address

Phone number

(818) 296-9529

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-06-16 3(38) INVESTMENT FIDUCIARIES FORM ADV PART 2A (6/16/2025)

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 842,588,293

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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Firm Stability Insights

Michael Fine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Fine's CRS (Customer Relationship Summary).

Certified licenses

Experience

3(38) INVESTMENT FIDUCIARIES

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

Primary Firm SEC Registration

3(38) INVESTMENT FIDUCIARIES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/2013

Series 63

Date: 6/28/2013

SIE

Date: 12/31/2017

Series 6

Date: 6/3/2013

Current Firm

3(38) INVESTMENT FIDUCIARIES

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

3(38) INVESTMENT FIDUCIARIES

TRUST BUT VERIFY

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