Monique (. Schulman
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.
Monique (nmn) Schulman, who also goes by Monique Salvatore, Monique Schulman, was a registered financial professional .
Monique is a previously registered financial professional and started their career in finance in 1984. Monique had worked at 12 firms and has passed the Series 63, Series 7TO, Series 6TO, Series 99TO, SIE, Series 3, Series 7, Series 6, Series 24, Series 10, Series 9 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
August 17, 2018 - July 18, 2020
SECURITIES AMERICA, INC.
August 8, 2017 - August 9, 2018
CAMMACK LARHETTE BROKERAGE, INC.
February 28, 2014 - June 6, 2017
LEBENTHAL & CO., LLC
May 7, 2013 - February 25, 2014
J.P. MORGAN SECURITIES LLC
March 8, 2012 - March 4, 2013
FOREFRONT CAPITAL MARKETS LLC
July 31, 1993 - February 27, 2012
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 19, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
December 20, 1985 - January 14, 1986
UBS CAPITAL MARKETS L.P.
November 21, 1984 - January 1, 1986
BRODIS SECURITIES INCORPORATED
May 17, 1984 - November 26, 1984
CIBC WORLD MARKETS CORP.
January 19, 1984 - June 6, 1984
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 7TO
Date: 7/12/2022
General Securities Representative ExaminationSeries 6TO
Date: 7/12/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 7/12/2022
Operations Professional ExaminationSeries 8
Date: 11/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
