Monica R. Harris
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 Reba Harris, who also goes by Monica Reba Harris Susel, Monica Harris Susel, Monica Susel, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1995. Monica had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 8, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2020 - December 17, 2024
ARES MANAGEMENT CAPITAL MARKETS LLC
August 10, 2018 - September 23, 2019
TCG CAPITAL MARKETS L.L.C.
June 29, 2011 - September 23, 2019
TCG SECURITIES, L.L.C.
June 2, 2010 - August 4, 2010
CARRINGTON INVESTMENT SERVICES, LLC
November 11, 2002 - November 23, 2009
DEUTSCHE BANK SECURITIES INC.
April 29, 2002 - November 1, 2002
RYAN BECK & CO.
February 8, 1999 - May 17, 2002
GRUNTAL & CO., L.L.C.
January 23, 1997 - January 25, 1999
W.J. NOLAN & COMPANY, INC.
February 24, 1995 - January 16, 1997
FIRST MONTAUK SECURITIES CORP.
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: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (51 States and Territories)
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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