Phillip J. Monthie
Professional summary
Phillip Joseph Monthie, who also goes by Phillip Monthie, Phillip Joseph Shea, Phillip J Shea, is a registered financial advisor currently at MONTHIE WEALTH ADVISORS located in Latham, New York.
Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Phillip has worked at 2 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Joseph Monthie's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2023 - Present
MONTHIE WEALTH ADVISORS
Office #1: 623 New Loudon Road, Latham, NY 12110August 1, 2014 - June 11, 2015
MERCER ALLIED COMPANY, L.P.
Primary Firm SEC Registration
MONTHIE WEALTH ADVISORS
CRD#: 321076 / SEC#: 801-130618
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/12/2023)
Exams
Series 11
Date: 8/1/2014
Assistant Representative-Order Processing Qualification ExamCurrent Firm
MONTHIE WEALTH ADVISORS
CRD#: 321076 / SEC#: 801-130618
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 264 |
| AUM (Assets Under Management) | $ 55,269,700 |
Red Flags
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