Monica A. Mulvihill
Professional summary
Monica Agnes Mulvihill is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Chicago, Illinois.
Monica is registered as a RR (Registered Representative) and started their career in finance in 1987. Monica has worked at 9 firms and has passed the Series 63, Series 72, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Monica Agnes Mulvihill's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606December 23, 2021 - August 31, 2023
MAREX NORTH AMERICA SECURITIES LLC
September 29, 2015 - January 24, 2020
MAREX CAPITAL MARKETS INC.
August 9, 2013 - May 30, 2014
STONEX FINANCIAL INC.
November 30, 2010 - August 31, 2011
ELEVATION, LLC
March 3, 2003 - April 7, 2009
MIZUHO SECURITIES USA LLC
May 17, 2001 - May 14, 2002
BARCLAYS CAPITAL INC.
March 29, 1995 - January 4, 2001
ABN AMRO CLEARING USA LLC
March 29, 1993 - January 20, 1995
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1989 - March 18, 1993
ABN AMRO CLEARING USA LLC
November 9, 1987 - February 25, 1989
CRT GOVERNMENT SECURITIES, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2023)
(9/5/2023)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
