Monica C. Knowles

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CRD#: 1087761

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.

Monica C Knowles, who also goes by Monica Celeste Driscoll, Monica Celeste Knowles, was a registered financial professional .

Monica is a previously registered financial professional and started their career in finance in 1983. Monica had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 15, Series 5 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Monica Celeste Driscoll | Monica Celeste Knowles

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Name of Business: Ray and Mary Knight Scholarship Fund; Business is not investment-related; Address: 2324 Dexter Road, Ann Arbor, MI 48103; Nature of Business: non-profit food services; Organization raises money for scholarships for grades 1-12; Title: Director; Start date: 2019; 2 hours per week devoted to the other business; 0 hours devoted during securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 10, 2021 - April 4, 2023

SEQUOIA FINANCIAL GROUP, L.L.C.

RIA

CRD#: 117756

Ann Arbor, MI

Past

March 26, 2019 - October 25, 2019

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Ann Arbor, MI

Past

February 13, 2018 - June 20, 2019

ARBOR ASSET MANAGEMENT, LLC

RIA

CRD#: 112048

ANN ARBOR, MI

Past

July 22, 2014 - October 10, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

NOVI, MI

Past

July 17, 2014 - October 10, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

NOVI, MI

Past

September 6, 2012 - July 14, 2014

MORLEY CAPITAL MANAGEMENT, INC.

RIA

CRD#: 105339

PORTLAND, OR

Past

September 17, 2007 - September 13, 2012

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 9, 2007 - August 31, 2007

NATIONWIDE FUND DISTRIBUTORS LLC

CRD#: 25910

PORTLAND, OR

Past

September 27, 2006 - November 9, 2006

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

DETROIT, MI

Past

July 1, 2006 - November 9, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

DETROIT, MI

Past

June 14, 2005 - September 27, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

DETROIT, MI

Past

June 13, 2005 - July 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

DETROIT, MI

Past

February 28, 2005 - June 16, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

May 4, 2000 - December 3, 2004

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

February 14, 1995 - May 2, 2000

LPM INVESTMENT SERVICES, INC

CRD#: 33980

PALM BEACH, FL

Past

December 19, 1983 - February 24, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEQUOIA FINANCIAL GROUP, L.L.C.

CRD#: 117756 / SEC#: 801-61089

RIA

Registered Investment Advisory firm - (4/19/2002 Approved)

Ohio

Registered Investment Advisory firm - (5/10/2002 Terminated)

Oregon

Registered Investment Advisory firm - (10/22/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/1994

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 4/8/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 1/15/1985

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 2/13/1984

National Commodity Futures Examination

Current Firm

SEQUOIA FINANCIAL GROUP, L.L.C.

CRD#: 117756 / SEC#: 801-61089

RIA

Registered Investment Advisory firm - (4/19/2002 Approved)

Ohio

Registered Investment Advisory firm - (5/10/2002 Terminated)

Oregon

Registered Investment Advisory firm - (10/22/2018 Terminated)

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Contact information

Main Address

3500 Embassy Parkway, Akron, OH 44333

Mailing Address

Phone number

(330) 375-9480

Established

Firm type

Fiscal year end

# of Employees

296

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEQUOIA FINANCIAL ADVISORS, LLC ADV PART 2A 2-2025 (8/15/2025)

Regulatory assets under management

Total Number of Accounts	28,338
AUM (Assets Under Management)	$ 23,033,619,111

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/18/2025	Cover Page	Report
11/19/2024	Cover Page	Report
01/10/2024	Cover Page	Report

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.

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Firm Stability Insights

Monica C. Knowles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERCER GLOBAL ADVISORS INC.

ARBOR ASSET MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MORLEY CAPITAL MANAGEMENT, INC.

PRINCIPAL SECURITIES, INC.

NATIONWIDE FUND DISTRIBUTORS LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

FUNDS DISTRIBUTOR, LLC

LPM INVESTMENT SERVICES, INC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SEQUOIA FINANCIAL GROUP, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/1997

Series 63

Date: 10/26/1994

SIE

Date: 10/10/2017

Series 7

Date: 8/24/1994

Series 15

Date: 4/8/1985

Series 5

Date: 1/15/1985

Series 3

Date: 2/13/1984

Current Firm

SEQUOIA FINANCIAL GROUP, L.L.C.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEQUOIA FINANCIAL GROUP, L.L.C.

TRUST BUT VERIFY

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