Monica J. Busch
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 Jean Busch, who also goes by Monica Jean Barcala, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1992. Monica had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2004 - December 31, 2025
J.W. COLE FINANCIAL, INC.
November 8, 2000 - March 2, 2004
EDWARD JONES
February 1, 1996 - November 10, 2000
BANC ONE SECURITIES CORPORATION
April 21, 1993 - February 1, 1996
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
July 1, 1992 - February 24, 1993
OSAIC FA, 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
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
