DIRECTORY OF REGISTERED ADVISORS
National Coverage
Local Professionals
Mount Pleasant, SC 29464
843-870-1270
Wealth Management Tailored to You
About The Monitor Group
The Monitor Group is an independent financial services and wealth management firm serving families and business owners seeking financial confidence. Our mission is to know and understand our clients and employees' needs, wants, and long-term goals. We want to help develop, implement and monitor strategies that are designed to each individual.
See Disclosures
General Information
Firm Start Year
2005
No. of Employees
10-19
automated call
Yes
Firm CRD#
6413
Name of Broker/Dealer
LPL FINANCIAL LLC
States Licensed in
SC
Years of Experience in Financial Services
31
Number of Years with Current Firm
17
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Investment Advice & Management, Financial Advice & Consulting, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Money Management
Services
Investment Types
Exchange Traded Funds (ETFs), Insurance, Annuities, Stocks, Bonds, Options & Futures, Mutual Funds, Alternative Investments, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Your Office, Email, Phone, Our Office, Video Conference
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 7, Series 63, Series 65, Series 66
Insurance and Annuity Licenses
Disability, Annuity, Health, Life, Variable Annuity, Long Term Care, Variable Life
Firm Information
Advisor's Number of Clients
200
Advisor's Number of Managed Clients
160
Total Assets Under Management by Advisor
140
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$250K+
Compensation Methods
Based on Assets
Minimum Fee Charged for Managed Accounts
10,000.00
Education
Bachelors - Finance
College of Charleston
08/01/1988 -05/01/1992
Bachelors - Finance
College of Charleston
08/01/1988 -05/01/1992
Disclosures
FinancialAdvisor.net provides referrals to financial professionals of LPL Financial, LLC (LPL). FinancialAdvisor.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay FinancialAdvisor.net cash compensation for these referrals, which creates the incentive for FinancialAdvisor.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf