Monica Mcsweeney
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 Mcsweeney, who also goes by Monica L Mcsweeney, Monica Lynne Mcsweeney, Monica Lynne Payne, Monica Payne, Monica Lynne Whiteside, Monica Whiteside, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1999. Monica had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 53, Series 24, 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
June 25, 2020 - December 21, 2020
AE FINANCIAL SERVICES, LLC
March 24, 2020 - December 21, 2020
AE WEALTH MANAGEMENT, LLC
March 10, 2020 - June 23, 2020
MADISON AVENUE SECURITIES, LLC
January 2, 2019 - October 30, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 2, 2019 - October 30, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 13, 2017 - December 27, 2018
D.A. DAVIDSON & CO.
November 9, 2017 - December 27, 2018
D.A. DAVIDSON & CO.
August 18, 2014 - November 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2014 - November 6, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2014 - August 11, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2012 - August 11, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 29, 2008 - August 8, 2012
WADDELL & REED
November 17, 2006 - April 30, 2007
EDWARD JONES
November 17, 1999 - April 30, 2007
EDWARD JONES
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
Current Firm
AE FINANCIAL SERVICES, LLC
CRD#: 298608 / SEC#: , 8-70214
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AE FS HOLDINGS, LLC | OWNER | |
| CALLANAN, DAVID JAMES | CHIEF EXECUTIVE OFFICER | 4237166 |
| GOCHENOUR, JOLENE KAY | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6728358 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHOLZ, SHAWN | PRESIDENT | 2891167 |
| WOLFE, DAVID ROBB | GENERAL COUNSEL AND SECRETARY | 6603373 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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