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Detailed Report
Monte James Harrick
MONTE J HARRICK
CRD#: 1992078
IA
Investment Adviser
B
Broker
VALMARK ADVISERS, INC.CRD#: 108050 7755 Irvine Center Dr. Suite 500
Irvine, CA 92618
VALMARK SECURITIES, INC.CRD#: 31243 7755 Irvine Center Dr. Suite 500
Irvine, CA 92618
Registration History
199019952000200520102015202020252 FIRMS1989 - 1993 (3 years)IAVALMARK ADVISERS, INC. (CRD# 108050)2020 - Present (4 years)BVALMARK SECURITIES, INC. (CRD# 31243)2017 - Present (7 years)BFAS CORP. (CRD# 43536)2009 - 2017 (7 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2008 - 2009 (1 year)BCLARK SECURITIES, INC. (CRD# 43803)2001 - 2008 (7 years)BWESTPORT FINANCIAL SERVICES, L... (CRD# 38449)1996 - 2001 (4 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1996 - 1996 (<1 year)BG. R. PHELPS & CO., INC. (CRD# 173)1994 - 1996 (2 years)
License(s)

State Registrations

B
Arizona 6/27/2023
B
Michigan 2/25/2021
B
California 6/6/2017
B
Missouri 2/25/2022
IA
California 8/17/2020
B
New Hampshire 1/2/2024
B
Colorado 8/16/2017
B
Ohio 6/26/2017
B
Delaware 1/3/2022
IA
Utah 3/2/2021
B
Florida 11/10/2021
B
Utah 9/5/2023
B
Georgia 8/16/2017
B
Vermont 10/18/2023
B
Kansas 9/2/2021
B
Washington 4/28/2022

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALMARK ADVISERS, INC. (CRD#:108050)
7755 Irvine Center Dr. Suite 500, Irvine, CA 92618
Registered with this firm since 8/17/2020
B
VALMARK SECURITIES, INC. (CRD#:31243)
7755 Irvine Center Dr. Suite 500, Irvine, CA 92618
Registered with this firm since 6/6/2017
Previous Registration(s)
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B
 09/01/2009 - 06/06/2017 FAS CORP. (CRD#:43536) LOS ANGELES, CA
B
 06/23/2008 - 09/03/2009 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) LOS ANGELES, CA
B
 05/14/2001 - 06/12/2008 CLARK SECURITIES, INC. (CRD#:43803) LOS ANGELES, CA
B
 08/06/1996 - 05/14/2001 WESTPORT FINANCIAL SERVICES, L.L.C. (CRD#:38449) JACKSONVILLE, FL
B
 03/01/1996 - 08/08/1996 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
B
 02/15/1994 - 03/01/1996 G. R. PHELPS & CO., INC. (CRD#:173)
B
 11/15/1989 - 08/25/1993 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
 11/15/1989 - 08/25/1993 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.