Monarch Bhatt

ASCENT FINTECH LLC

Carol Stream, IL

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CRD#: 7420605

Professional summary

Monarch Bhatt, CFP® is a registered financial advisor currently at ASCENT FINTECH LLC located in Carol Stream, Illinois.

Monarch is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Monarch has worked at 1 firm and has passed the Series 3 exam.

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.

Roadrunner Transportation Services; 03/2021; Downers Grove, IL; Senior Financial Analyst; Shipping & Logistics company; Non-Investment Related; 160 hrs/month devoted to activity, including during trading hours. Ascent Infotech LLC; 07/2021; Glendale Heights, IL; Executive Vice President; IT services business; Non-Investment Related; Minimal amount of time devoted to this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monarch Bhatt'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

September 21, 2021 - Present

ASCENT FINTECH LLC

RIA

CRD#: 316080

Carol Stream, IL

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
(9/21/2021)

IAR

Texas
(2/24/2022)

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

General Industry/Product Exam

Series 3

Date: 4/12/2019

National Commodity Futures Examination

Current Firm

ASCENT FINTECH LLC

CRD#: 316080 / SEC#:

Illinois

Registered Investment Advisory firm - (9/21/2021 Approved)

Texas

Registered Investment Advisory firm - (2/15/2022 Conditional Restricted)

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Contact information

Main Address

Carol Stream, IL

Mailing Address

Phone number

(630) 456-1600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 3,424,251

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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Monarch Bhatt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monarch Bhatt's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENT FINTECH LLC

State Registrations and Notice Filings

Exams

Series 3

Date: 4/12/2019

Current Firm

ASCENT FINTECH LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASCENT FINTECH LLC

TRUST BUT VERIFY

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