MP
Monica B. Phillip
Some features on this profile are disabled
CRD#: 806865
MP
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Monica Bernadette Phillip, who also goes by Monica B Price, Monica Bernadette Price, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1988. Monica had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1, Series 8, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Monica B Price | Monica Bernadette Price
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 25, 2014 - August 6, 2018
ARBOR POINT ADVISORS
RIA
CRD#: 165127
MEQUON, WI
Past
September 1, 2011 - October 8, 2014
JK INVESTMENT GROUP, INC.
RIA
CRD#: 156406
MEQUON, WI
Past
July 17, 2003 - January 31, 2012
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
MEQUON, WI
Past
July 14, 2003 - August 6, 2018
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MEQUON, WI
Past
October 22, 2002 - July 31, 2003
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
DELAFIELD, WI
Past
October 28, 1997 - July 31, 2003
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 18, 1995 - October 9, 1997
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
April 19, 1993 - August 26, 1995
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
July 13, 1990 - April 19, 1993
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
March 22, 1988 - July 13, 1990
BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION
BD
CRD#: 17087
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/26/1975
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 8
Date: 9/20/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AP
ARBOR POINT ADVISORS
2020 WEALTH MANAGEMENT GROUP | WOOLFREY FINANCIAL CONSULTING | WISE RETIREMENT STRATEGIES 100 | WEALTHMINT | WARNKE FINANCIAL SERVICES | WALL FINANCIAL | VIAQUEST FINANCIAL GROUP | TRUE ALTITUDE WEALTH MANAGEMENT | TRIDEA ADVISORS | THE O`HAGAN GROUP | THE HART GROUP | TETRALOGY FINANCIAL PLANNING GROUP | SYNTEGRA PRIVATE WEALTH GROUP | SYKTICH FINANCIAL, LLC | SUMNER FINANCIAL | STRICKLER AND MOORMEIER | STORM FISCHER INVESTMENT GROUP | SLADKO ASSET MANAGEMENT | SECURE FINANCIAL CORP | SCOUT ASSET MANAGEMENT | SCHROEDER WEALTH ADVISORS | SABRE FINANCIAL SERVICES | RIVER ROCK WEALTH ADVISORY | RED CEDAR WEALTH ADVISORS | RED CEDAR WEALTH | RD FINANCIAL | QUANTUM PARTNERS, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PREMIER WEALTH MANAGEMENT GROUP | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PADDEN FINANCIAL SERVICES | ONMARK ASSET MANAGEMENT | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NIEMI FINANCIAL SERVICES | MICHIGAN 4N/A1K COUNSULTANTS | MFR | MAYBURY FINANCIAL | MA FINANCIAL PLANNING | LION FINANCIAL ADVISORS | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LARSON FINANCIAL SERVICES | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL/LEGAL | KOLEY FINANCIAL / LEGAL | KOLEY FINANCIAL | KOENIG FINANCIAL GROUP | KIRKLAND FINANCIAL ADVISERS | KIMBLER FINANCIAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | JMS FINANCIAL SOLUTIONS LLC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERITAGE PRIVATE WEALTH MANAGEMENT | HARBOR FINANCIAL ADVISORS | GUGGER ASSET MANAGEMENT | GOTTIER INVESTMENTS | GOLDSTEIN ADVISORS | GOLDSTEIN & ASSOCIATES | GLEASON FINANCIAL GROUP | GEORGE W. HOOK III FINANCIAL SERVICES | GAULDEN WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | GALBRAITH FINANCIAL SERVICES | FULL CIRCLE WEALTH MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FINANCIAL SOLUTIONS | FARRELL FINANCIAL | ETON FINANCIAL SERVICES | EMERALD CITY FIDUCIARY GROUP | ECHELON GROUP | DWIGHT O'HARA INVESTMENT SERVICES | DOSS ASSET ADVISORS | DIAMONDBACK FINANCIAL SERVICES, LLC | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | CVACH FINANCIAL SERVICES | CTM FINANCIAL GROUP, LLC | CTM FINANCIAL GROUP | CREATIVE FINANCIAL PARTNERS | CORINTHIAN WEALTH MANAGEMENT | COPIA WEALTH MANAGEMENT | COMMONWEALTH FINANCIAL SERVICES | COLLIER SUSTAINABLE WEALTH MANAGEMENT | CITY FIDUCIARY GROUP | CAPITAL INCOME ADVISORS | CAPITAL & BUSINESS PLANNING | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BLAKE GALLION, CFP | BELLEAIR FINANCIAL SERVICES | BASECAMP INVESTMENTS | BAIKIE AND ALCANTARA | ARNOLD FINANCIAL SERVICES | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARBOR POINT ADVISORS, LLC | ARBOR POINT ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AILERON WEALTH MANAGEMENT | AFG FINANCIAL | AEON WEALTH MANAGEMENT | AB WEALTH MANAGEMENT | A. GAINES FINANCIAL
CRD#: 165127 / SEC#: 801-77135
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
12325 Port Grace Blvd., Lavista, NE 68128
Mailing Address
Phone number
(888) 777-1992
Established
Firm type
Fiscal year end
# of Employees
2,643
Regulatory assets under management
| Total Number of Accounts | 28,010 |
| AUM (Assets Under Management) | $ 6,929,575,682 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
