Robert E. Mongno
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.
Robert Eugene Mongno was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2006 - May 8, 2018
WELLS FARGO SECURITIES, LLC
October 11, 2004 - March 3, 2006
RAYMOND JAMES & ASSOCIATES, INC.
October 10, 2000 - October 1, 2004
CREDIT SUISSE SECURITIES (USA) LLC
September 13, 1999 - October 10, 2000
PERSHING LLC
June 14, 1999 - November 3, 1999
DEUTSCHE BANK SECURITIES INC.
May 17, 1999 - June 14, 1999
DB ALEX. BROWN LLC
May 31, 1994 - August 11, 1997
BNY DIRECT EXECUTION INC.
November 20, 1991 - February 5, 1994
J. GREGORY & COMPANY, INC.
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 55
Date: 3/2/2001
Limited Representative-Equity Trader ExamSeries 25
Date: 8/10/1999
NYSE Trading Assistant ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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