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MONICA AGNES CORMIER

MONICA A. CORMIER

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CRD#: 1954324
MONICA AGNES CORMIER

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.

MONICA AGNES CORMIER, who also goes by Monica A Goodwin, Monica Agnes Goodwin, was a registered financial professional .

MONICA is a previously registered financial professional and started their career in finance in 1990. MONICA had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Biography

Monica Cormier is the Director of Client Service at Simmons Investment Advisors. She specializes in operations and family office services, with an emphasis on providing clients with a memorable, excellent experience. Monica has been a registered assistant for more than 25 years and holds her Series 7 and 63 licenses. Her career began in 1985, when she became a Temporary Receptionist at Merrill Lynch. She later became a Sales and Manager’s Assistant before joining Hightower in 2011. She earned her Bachelor of the Arts from the University of Maine, Orono, and was a member of All Maine Women. She lives in Windham, Maine with her husband. In her spare time, Monica trains for and participates in triathlons, including the Tri for a Cure and Beach to Beacon Road Race. She has also run marathons with her nieces, skydived with her daughter and jumped in the Atlantic Ocean every New Year’s Day since 2004. When taking a break from her adventures, Monica enjoys chocolate-making for non-profit fundraising events.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Monica A Goodwin | Monica Agnes Goodwin

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

February 18, 2011 - January 21, 2026

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
New Gloucester, ME
Past

July 23, 2009 - February 22, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PORTLAND, ME
Past

August 5, 1991 - February 22, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PORTLAND, ME
Past

March 20, 1990 - August 7, 1991

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

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: 11/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1990
General Securities Representative Examination

Current Firm

HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC

CRD#: 116681 / SEC#: , 8-53560

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

Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HIGHTOWER HOLDING, LLCPARENT COMPANY
BESSO, DOUGLAS JOSEPHCTO1530829
COVIELLO, BARRY ANTHONYEXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION1813688
GRAY, KENDRACHIEF COMPLIANCE OFFICER4388082
GRAY, KENDRAMUNICIPAL PRINCIPAL4388082
KARL, MATTHEW JAMESPRINCIPAL FINANCIAL OFFICER (PFO) & FINOP5361093
SMITH, SCOTT DAVIDCHIEF EXECUTIVE OFFICER2523535

Disclosures

Regulatory Event5
Arbitration1

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

HIGHTOWER SECURITIES, LLC

Director of Client ServiceCRD#: 116681

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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