Monica R. Matola
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 Renee Matola, who also goes by Monica Roberts Kelly, Monica R Walters, Monica Roberts Walters, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1991. Monica had worked at 4 firms and has passed the Series 63, SIE, Series 99, Series 7, Series 6, 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
February 27, 2014 - August 26, 2015
FIRST CLEARING, LLC
October 1, 2000 - July 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 5, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 8, 1996 - April 30, 1997
UVEST FINANCIAL SERVICES GROUP, INC.
November 11, 1991 - May 11, 1993
UVEST FINANCIAL SERVICES GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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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