William F. Monroe
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.
William Francis Monroe JR, who also goes by William Francis Monroe, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2016 - November 17, 2020
MMLISI FINANCIAL ALLIANCES, LLC
April 4, 2012 - December 20, 2012
MML DISTRIBUTORS, LLC
April 4, 2012 - November 4, 2013
MMLISI FINANCIAL ALLIANCES, LLC
April 19, 2004 - June 28, 2022
MML INVESTORS SERVICES, LLC
April 19, 2004 - June 28, 2007
MML DISTRIBUTORS, LLC
April 19, 2004 - June 28, 2022
MML INVESTORS SERVICES, LLC
September 11, 2003 - March 3, 2004
VERAVEST INVESTMENT ADVISORS, INC.
March 23, 2001 - March 3, 2004
VERAVEST, INC.
September 8, 1987 - March 3, 2004
VERAVEST INVESTMENTS, INC.
February 16, 1984 - August 19, 1987
INVEST FINANCIAL CORPORATION
September 1, 1983 - February 25, 1985
FORESTERS FINANCIAL SERVICES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MMLISI FINANCIAL ALLIANCES, LLC
CRD#: 119003 / SEC#: 801-68596, 8-53707
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MML INVESTORS SERVICES, LLC | OWNER | 10409 |
| HALL, NATHAN | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 6072737 |
| ROGAN, JOHN ROBERT | DIRECTOR | 5093309 |
| ROSENTHAL, ROBERT STEVEN | SECRETARY AND CHIEF LEGAL OFFICER | 2590788 |
| SAJDAK, JEFFREY MICHAEL | DIRECTOR | 4490432 |
| SCANLON, SUSAN JOANN | CHIEF COMPLIANCE OFFICER | 1371255 |
| SCHILDGEN, ARTHUR WILLIAM JR | ASSISTANT VICE PRESIDENT | 2853961 |
| VACCARO, JOHN ARTHUR | DIRECTOR | 2264004 |
| YOUMELL, EDWARD DEAN | PRESIDENT | 4338114 |
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.
