Kevin M. Monaco
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.
Kevin Michael Monaco, who also goes by Kevin Michael Monaco, Kevin Monaco, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1993. Kevin had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2022 - September 16, 2025
OPPENHEIMER & CO. INC.
December 2, 2022 - September 16, 2025
OPPENHEIMER & CO. INC.
September 11, 2018 - October 18, 2022
D.A. DAVIDSON & CO.
September 11, 2018 - October 18, 2022
D.A. DAVIDSON & CO.
March 23, 2016 - September 12, 2018
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2016 - September 12, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2013 - February 29, 2016
RAYMOND JAMES & ASSOCIATES, INC.
September 20, 2013 - February 29, 2016
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2009 - August 29, 2013
MORGAN STANLEY
June 1, 2009 - August 29, 2013
MORGAN STANLEY
November 7, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 13, 2001 - November 6, 2003
CITIGROUP GLOBAL MARKETS INC.
August 6, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 17, 1997 - August 10, 2001
MORGAN STANLEY DW INC.
June 25, 1993 - June 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 1993 - July 2, 1993
AMERICAN HERITAGE SECURITIES, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 4/4/2024
Operations Professional ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
