Marc D. Farmer

MONROE FINANCIAL

Chicago, IL 60605

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CRD#: 6512633

Professional summary

Marc D Farmer, who also goes by Marc Farmer, is a registered financial advisor currently at MONROE FINANCIAL INC. located in Chicago, Illinois.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Marc has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marc Farmer

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.

Marc D Farmer CPA~'NIR'~1625 10th Street, Ste 205~Monroe~WI~53566~Tax Preparation/Accounting~Owner/Sole Proprietor~5/1/2013~120hrs~60hrs~Accounting, bookkeeping and tax preparation.|Monroe Arts Center~'NIR'~1315 11th St~Monroe~WA~53566~Board Position/Officer~Other~2/1/2018~3hrs~0hrs~Reviewing and presenting financial statements to the board of directors. Advise in financial matters for the organization.| CPA FIRM OWNER AND ON THE BOARD OF DIRECTORS FOR MONROE ARTS CENTER (NON-PROFIT)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc D Farmer'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

August 22, 2019 - Present

MONROE FINANCIAL INC.

Office #1: 1132 S Wabash Ave Ste 605, Chicago, IL 60605Office #2: 1625 10th Street Suite 205, Monroe, WI 53566

RIA

CRD#: 304658

Chicago, IL

Past

December 8, 2015 - September 9, 2019

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Monroe, WI

Past

December 8, 2015 - September 9, 2019

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Monroe, WI

Past

November 17, 2015 - December 28, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MONROE, WI

Past

October 22, 2015 - December 28, 2015

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

MONROE, WI

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

Illinois
(9/11/2019)

IAR

Wisconsin
(8/22/2019)

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: 11/17/2015

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: 10/22/2015

General Securities Representative Examination

Current Firm

MONROE FINANCIAL INC.

CRD#: 304658 / SEC#:

Illinois

Registered Investment Advisory firm - (9/11/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (8/22/2019 Approved)

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Contact information

Main Address

1132 S Wabash Ave Ste 605, Chicago, IL 60605

Mailing Address

Phone number

(312) 906-7166

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	197
AUM (Assets Under Management)	$ 12,671,317

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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Marc D. Farmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc D Farmer's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONROE FINANCIAL INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/22/2015

Current Firm

MONROE FINANCIAL INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MONROE FINANCIAL INC.

TRUST BUT VERIFY

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