Stephen P. Monthie

MONTHIE WEALTH ADVISORS

Latham, NY 12110

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CRD#: 7518764

Professional summary

Stephen Paul Monthie, who also goes by Stephen Monthie, is a registered financial advisor currently at MONTHIE WEALTH ADVISORS located in Latham, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Stephen has worked at 1 firm and has passed the SIE exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Monthie

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.

1. Mr. Monthie is an Attorney with the Monthie Law Firm. He advises and prepares legacy and estate plans for clients, and advises and prepares client tax returns.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Monthie's CRS (Customer Relationship Summary).

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

July 23, 2022 - Present

MONTHIE WEALTH ADVISORS

Office #1: 623 New Loudon Road, Latham, NY 12110

RIA

CRD#: 321076

Latham, NY

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".

MONTHIE WEALTH ADVISORS

EXCLUSIVE RESOURCE MANAGEMENT LLC | MONTHIE WEALTH ADVISORS

CRD#: 321076 / SEC#: 801-130618

RIA

Registered Investment Advisory firm - (7/5/2024 Approved)

New York

Registered Investment Advisory firm - (7/10/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(7/23/2022)

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

SIE

Date: 12/14/2021

Securities Industry Essentials Examination

Current Firm

MONTHIE WEALTH ADVISORS

EXCLUSIVE RESOURCE MANAGEMENT LLC | MONTHIE WEALTH ADVISORS

CRD#: 321076 / SEC#: 801-130618

RIA

Registered Investment Advisory firm - (7/5/2024 Approved)

New York

Registered Investment Advisory firm - (7/10/2024 Terminated)

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Contact information

Main Address

623 New Loudon Road, Latham, NY 12110

Mailing Address

Phone number

(518) 786-3534

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - MONTHIE WEALTH ADVISORS (2/28/2025)

Regulatory assets under management

Total Number of Accounts	264
AUM (Assets Under Management)	$ 55,269,700

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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Stephen P. Monthie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Monthie's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONTHIE WEALTH ADVISORS

Primary Firm SEC Registration

MONTHIE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

SIE

Date: 12/14/2021

Current Firm

MONTHIE WEALTH ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONTHIE WEALTH ADVISORS

TRUST BUT VERIFY

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