Jonathan R. Monroe

NEW WAVE FINANCIAL LLC

atlanta, GA

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CRD#: 6282465

Professional summary

Jonathan Robert Monroe is a registered financial advisor currently at NEW WAVE FINANCIAL LLC located in Atlanta, Georgia.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jonathan has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.

Jonathan Robert Monroe is a Senior Account Director at Viant Technology Inc, an advertising technology firm. Jonathan Robert Monroe supports clients of Viant in using a software platform to run advertising campaigns. This is a full-time position.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Robert Monroe'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®

None

Experience

Current

September 4, 2020 - Present

NEW WAVE FINANCIAL LLC

Office #2: 3 Buckthorn Lane, Collegeville, PA 19426

RIA

CRD#: 309444

atlanta, GA

Past

May 2, 2016 - May 6, 2019

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

OAKS, PA

Past

September 26, 2014 - May 6, 2019

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

July 1, 2014 - August 15, 2014

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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

Pennsylvania
(9/4/2020)

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 66

Date: 8/13/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/2014

General Securities Representative Examination

Current Firm

NEW WAVE FINANCIAL LLC

CRD#: 309444 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (9/4/2020 Approved)

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Contact information

Main Address

Collegeville, PA

Mailing Address

Phone number

(484) 686-9399

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 281,274

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

Jonathan R. Monroe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Robert Monroe's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW WAVE FINANCIAL LLC

SEI INVESTMENTS MANAGEMENT CORP

SEI INVESTMENTS DISTRIBUTION CO.

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/1/2014

Current Firm

NEW WAVE FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW WAVE FINANCIAL LLC

TRUST BUT VERIFY

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