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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, Money Management, Risk Management, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Education Funding and Planning
Services
Investment Types
Bonds, Options & Futures, Mutual Funds, Stocks, Alternative Investments, Exchange Traded Funds (ETFs), Insurance, Annuities, 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 66, Series 65, Series 63, Series 7
Insurance and Annuity Licenses
Annuity, Health, Life, Variable Annuity, Long Term Care, Disability, 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
Education
Bachelors - Finance
College of Charleston
08/01/1988 -05/01/1992
Bachelors - Finance
College of Charleston
08/01/1988 -05/01/1992
Disclosures
RetirementPlanning.net provides referrals to financial professionals of LPL Financial, LLC (LPL). RetirementPlanning.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RetirementPlanning.net cash compensation for these referrals, which creates the incentive for RetirementPlanning.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