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SM

Steven A. Monaco

Some features on this profile are disabled
CRD#: 1471677
SM

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.

Steven Anthony Monaco, who also goes by A Steven Monaco, Steven A Monaco, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

A Steven Monaco | Steven A Monaco

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.
The advisor shows no other business activity.

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

September 9, 2020 - April 7, 2021

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA
Past

May 20, 2019 - September 26, 2019

SBC PARTNERS

BD
CRD#: 284750
Los Angeles, CA
Past

September 16, 2014 - June 27, 2016

FAIRBRIDGE CAPITAL MARKETS

BD
CRD#: 103818
NEWPORT BEACH, CA
Past

May 28, 2013 - August 19, 2014

INSPEREX LLC

BD
CRD#: 101420
SAN FRANSICO, CA
Past

April 12, 2013 - June 12, 2013

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
NEW YORK, NY
Past

January 18, 2012 - September 7, 2012

OPPENHEIMER & CO. INC.

BD
CRD#: 249
SAN FRANCISCO, CA
Past

March 17, 2011 - October 17, 2011

NEWEDGE USA, LLC

BD
CRD#: 36118
SAN FRANCISCO, CA
Past

October 15, 2008 - March 10, 2011

R.W.PRESSPRICH & CO.

BD
CRD#: 26460
NEWPORT BEACH, CA
Past

March 19, 2008 - October 8, 2008

APS FINANCIAL CORPORATION

BD
CRD#: 10033
MCLEAN, VA
Past

June 21, 2004 - October 22, 2007

ALLY SECURITIES LLC

BD
CRD#: 25988
COSTA MESA, CA
Past

May 17, 2002 - October 27, 2003

CITY NATIONAL SECURITIES, INC.

BD
CRD#: 103705
LOS ANGELES, CA
Past

November 5, 2001 - April 2, 2002

GLOBAL EXPRESS SECURITIES, INC.

BD
CRD#: 41921
LAS VEGAS, NV
Past

June 29, 1998 - January 7, 2000

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA
Past

July 11, 1997 - March 24, 1998

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
CALABASAS, CA
Past

January 31, 1995 - March 27, 1996

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 30, 1993 - February 13, 1995

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

November 13, 1992 - June 30, 1993

AEGIS SECURITIES CORPORATION

BD
CRD#: 26581
Past

March 19, 1986 - January 27, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/27/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2010
General Securities Principal Examination

Current Firm

XF
XNERGY FINANCIAL LLC
XNERGY FINANCIAL CORPORATION | XNERGY FINANCIAL LLC

CRD#: 144436 / SEC#: , 8-67655

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067
Mailing Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067
Phone number
(310) 552-0000
Established
California since 12/15/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
XNERGY, LLCSHAREHOLDER
JACOBS, MARK STUARTCEO2295215
KODMAN, EDWARD GRANTFINOP8163156
SOBCZAK, AMRICCHIEF COMPLIANCE OFFICER6752202
STEFANY, NIAFOUNDER5406554

Disclosures

Regulatory Event1

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.

Company Information

XNERGY FINANCIAL LLC

CRD#: 144436

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