Patricia MonatCRD Number: 1781524
Current Firm: Sii Investments, Inc.
Patricia Monat (CRD# 1781524) is an Investment Advisor Representative working at Sii Investments, Inc. in Waterloo, IA and has over 29 years of experience in the finance industry. Patricia Monat has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Fsb Premier Wealth Management, Inc.
Heartland Financial Services, Ltd.
State Farm Investment Management Corp.
|St Athanasuis School||Waterloo, IA||May 2011 - Current||5|
|Don Bosco Endowment Fund||Waterloo, IA||May 2011 - Current||5|
|Monat Insurance Services||Waterloo, IA||May 2011 - Current||5|
|Sii Investments, Inc.||Waterloo, IA||Jan 2003 - Current||14|
|P&i LLC||Waterloo, IA||Jan 2003 - Current||14|
|Monat Financial Services/owner||Waterloo, IA||Jun 1993 - Current||23|
|National Travelers Life Company||Des Moines, IA||Jun 1986 - Current||30|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1988|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management4,226MILLIONS
Total Number of Accounts30,484ACCOUNTS
Average Account Value$138,626
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV