Robert Monte has been Managing Member & Chief Compliance Officer of Monte Financial Group since June 2009, is a control person of the firm and directly owns 75% or more of it. Robert Monte holds a Bachelor of Arts in Economics from the University of Connecticut.
Monte Financial Group, LLC is a Guilford, CT firm with $482M under management, 434 clients and 7 advisers in one office, as of its March 2026 filing.
Robert J. Monte is Chief Investment Officer and Chief Wealth Officer of Monte Financial Group. As Chief Investment Officer, he is responsible for developing and communicating the firm's investment perspective and supervising the investment process. As Chief Wealth Officer, he works with high net-worth individuals and families and oversees the firm's financial planning process. He founded Monte Financial Group in June 2009, after 17 years at Smith Barney, leaving as Senior Vice President Wealth Management.
Robert Monte’s longest registration is the current one, 17 years at Monte Financial Group since 2009. Before joining Monte Financial Group in 2009, Robert Monte was registered through Morgan Stanley Smith Barney LLC and Citigroup Global Markets Inc.
- Monte Financial Group, LLCCurrent– present · 17 yearsGuilford, CT · Adviser representative · Firm CRD 150119
- Morgan Stanley Smith Barney LLC– · under a yearGuilford, CT · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 15 yearsGuilford, CT · Adviser representative · Firm CRD 7059
Professional designations
Listed by Monte Financial Group
- Certified Private Wealth Advisor (CPWA®)
- Retirement Management Advisor (RMA®)
- Chartered Advisor in Philanthropy (CAP®)
Investment adviser representative registrations
Robert Monte is registered as an investment adviser representative in Connecticut, since June 2009.
- ConnecticutSince 25 June 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 3 | National Commodity Futures Examination | 2 May 1984 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 April 1984 |
| Series 7 | General Securities Representative Examination | 14 April 1984 |
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Robert John Monte
- CRD
- 1259890
- Firm
- Monte Financial Group · CRD 150119
- Role
- Managing Member & Chief Compliance Officer
- Office
- 30 LONG HILL ROAD, Guilford, CT 06437
- Registration
- Investment adviser registration
- In the industry since
- September 1993
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- montefinancialgroup.com
Where does Robert Monte work?
Robert Monte has been Managing Member & Chief Compliance Officer of Monte Financial Group, LLC since June 2009, and is a control person of the firm.
Is Robert Monte a financial advisor?
Yes. Robert Monte has a current investment-adviser registration in Connecticut, through Monte Financial Group since June 2009.
How many years of experience does Robert Monte have?
Robert Monte has 33 years in the financial industry, since September 1993, across 3 adviser firms.
What exams has Robert Monte passed?
Robert Monte has passed 3 licensing exams: the Series 7, Series 63 and Series 3. The earliest, the Series 7, was passed in April 1984.
Where did Robert Monte work before Monte Financial Group?
Before Monte Financial Group, Robert Monte was registered through Citigroup Global Markets Inc., September 1993 to June 2009.
Where is Robert Monte based?
Robert Monte’s registered office is in Guilford, CT.
Is Robert Monte registered with FINRA?
No. Robert Monte has no current broker registration.
How can I verify Robert Monte’s record?
Search CRD 1259890 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Robert Monte’s full registration record.