Monica Barrera
Professional summary
Monica Barrera, who also goes by Monica L Barreda, Monica Barreda, Monica L Barrera, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Chicago, Illinois.
Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Monica has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Monica Barrera's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2024 - Present
THE CAPROCK GROUP, LLC
Office #1: 150 N Riverside Plaza 25th Floor, Chicago, IL 60606April 28, 2020 - April 23, 2024
GREY STREET CAPITAL, LLC
April 21, 2011 - June 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2011 - June 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2007 - March 23, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 12, 2006 - March 23, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 17, 2001 - August 14, 2006
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
THE CAPROCK GROUP, LLC
CRD#: 124272 / SEC#: 801-61642
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/22/2024)
Exams
Current Firm
THE CAPROCK GROUP, LLC
CRD#: 124272 / SEC#: 801-61642
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 408 |
| AUM (Assets Under Management) | $ 10,149,325,042 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | ||
| 01/28/2025 | ||
| 10/26/2023 |
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.
