Monica M. Joffre
Professional summary
Monica M. Joffre, who also goes by Monica Mary Joffre, Monica M Joffre, Monica Mary Miller, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Phoenix, Arizona and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Monica has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Monica M. Joffre's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
February 19, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917March 23, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 8, 2020 - October 6, 2020
USAA INVESTMENT SERVICES COMPANY
October 7, 2019 - July 30, 2020
USAA INVESTMENT SERVICES COMPANY
October 4, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
March 1, 2019 - September 25, 2019
MORGAN STANLEY
March 1, 2019 - September 25, 2019
MORGAN STANLEY
November 27, 2018 - February 22, 2019
INDEPENDENT FINANCIAL GROUP, LLC
November 27, 2018 - February 22, 2019
INDEPENDENT FINANCIAL GROUP, LLC
August 22, 2017 - September 9, 2018
STRATOS WEALTH PARTNERS, LTD
August 18, 2017 - September 7, 2018
LPL FINANCIAL LLC
January 3, 2011 - May 16, 2017
CHARLES SCHWAB & CO., INC.
November 30, 2009 - May 16, 2017
CHARLES SCHWAB & CO., INC.
October 16, 2002 - August 18, 2009
WELLS FARGO INVESTMENTS, LLC
July 3, 2002 - August 18, 2009
WELLS FARGO INVESTMENTS, LLC
January 5, 1995 - September 19, 2001
CHARLES SCHWAB & CO., INC.
September 15, 1992 - January 13, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 1, 1991 - August 14, 1992
A. G. EDWARDS & SONS, INC.
September 19, 1989 - December 14, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
