JM
James P. Monti
THE WILLIAM ALLAN
LONG BEACH, CA 90802
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CRD#: 7012282
JM
Professional summary
James Peter Monti is a registered financial advisor currently at THE WILLIAM ALLAN CORPORATION located in Long Beach, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. James has worked at 1 firm .
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.
03/1998 to present; Pacific Maritime Association, San Pedro, CA; Longshoreman; Non-investment related; 40 hours per week, normal trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Peter Monti'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®
NoneExperience
Current
September 6, 2018 - Present
THE WILLIAM ALLAN CORPORATION
Office #1: 100 Oceangate Suite 1200, Long Beach, CA 90802RIA
CRD#: 133147
LONG BEACH, 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".
TW
THE WILLIAM ALLAN CORPORATION
THE WILLIAM ALLAN CORPORATION | WILLIAM ALLAN, LLC
CRD#: 133147 / SEC#: 801-121683
RIA
Registered Investment Advisory firm - (7/2/2021 Approved)California
Registered Investment Advisory firm - (11/22/2021 Terminated)Nevada
Registered Investment Advisory firm - (8/13/2021 Terminated)Texas
Registered Investment Advisory firm - (7/14/2021 Terminated)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(9/6/2018)
Exams
Current Firm
TW
THE WILLIAM ALLAN CORPORATION
THE WILLIAM ALLAN CORPORATION | WILLIAM ALLAN, LLC
CRD#: 133147 / SEC#: 801-121683
RIA
Registered Investment Advisory firm - (7/2/2021 Approved)California
Registered Investment Advisory firm - (11/22/2021 Terminated)Nevada
Registered Investment Advisory firm - (8/13/2021 Terminated)Texas
Registered Investment Advisory firm - (7/14/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3711 John F Kennedy Pkwy. Suite 420, Fort Collins, CO 80525
Mailing Address
Phone number
(800) 677-5309
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 603 |
| AUM (Assets Under Management) | $ 185,211,069 |
Red Flags
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