Joseph A. Monaco
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Anthony Monaco was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2004 - January 3, 2024
MONACO CAPITAL MANAGEMENT, LLC
November 10, 2003 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 10, 1991 - November 26, 2003
UBS FINANCIAL SERVICES INC.
September 9, 1991 - November 26, 2003
UBS FINANCIAL SERVICES INC.
November 14, 1983 - September 13, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 28, 1981 - November 11, 1983
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/13/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MONACO CAPITAL MANAGEMENT, LLC
CRD#: 130174 / SEC#: 801-118695
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,045 |
| AUM (Assets Under Management) | $ 171,862,563 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
