Investor Resources

Monroe Financial Partners, Inc. institutional accounts are held at National Financial Services LLC. For more information on opening an account with Monroe please call Ford Dickinson at 312 506-8743 or email him at ford@monroefp.net.

SEC Rule 606 Order Routing Information
If you are a customer of Monroe and would like specific routing information on your order, please contact us.

Business Continuity Plan

Monroe Financial Partners (MFP) has a Business Continuity Plan (BCP) in place, including redundant data centers and alternate processing facilities, to address interruptions to our normal course of business. The plans are reviewed annually and updated as necessary. Our plans outline the actions MFP will take in the event of a significant business disruption ranging in severity from a firm only disruption to a regional disruption, including relocating technology and operational personnel to pre-assigned alternate regional facilities. Technology data processing can also be switched to an alternate regional data center.

MFP’s redundancy technology facilities are equipped for resumption of business and are tested annually. Our recovery time objective for business resumption, including those involving a relocation of personnel or technology, is up to eight hours. This recovery objective may be negatively affected by the availability of external resources and circumstances beyond our control.

MFP maintains relationships with its clearing firm, National Financial Services (NFS). We fully introduce your accounts to NFS as it maintains your assets and settles your transactions on your behalf. In the event of a regional catastrophic event including, but not limited to a natural disaster, terrorist attack, or other severe failure where Monroe Financial Partners can no longer conduct business, NFS may be contracted directly to process limited trade-related transactions, cash disbursements, and security transfers. Instructions to Pershing must be in writing and transmitted via facsimile or postal service as follows:

National Financial Services, LLC
870 E Higgins Rd, Schaumburg, IL 60173

Fax: (847) 619-1918

https://www.mybrokerageinfo.com/

Regulatory Links

Financial Industry Regulatory Authority http://www.finra.org/

Securities Investor Protection Corporation https://www.sipc.org/

U.S Securities and Exchange Commission (SEC) http://www.sec.gov/

FINRA BrokerCheck https://brokercheck.finra.org/firm/summary/2811