Monica C. Moya
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 Corina Moya, who also goes by Monica Moya, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1995. Monica had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2023 - December 13, 2023
CHARLES SCHWAB & CO., INC.
October 17, 2017 - April 27, 2021
VALIC FINANCIAL ADVISORS, INC.
October 17, 2017 - April 27, 2021
VALIC FINANCIAL ADVISORS, INC.
July 25, 2016 - November 23, 2016
EDWARD JONES
July 25, 2016 - November 23, 2016
EDWARD JONES
October 5, 2015 - July 6, 2016
NEXT FINANCIAL GROUP, INC.
September 22, 2015 - July 6, 2016
NEXT FINANCIAL GROUP, INC.
July 6, 2012 - July 8, 2014
WORLD EQUITY GROUP, INC.
July 6, 2012 - July 8, 2014
WORLD EQUITY GROUP, INC.
August 18, 2008 - January 9, 2012
NEXT FINANCIAL GROUP, INC.
August 18, 2008 - January 9, 2012
NEXT FINANCIAL GROUP, INC.
March 17, 2006 - April 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
February 24, 2006 - April 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
April 2, 2004 - May 20, 2004
EQUITABLE ADVISORS, LLC
March 17, 2004 - May 20, 2004
EQUITABLE ADVISORS, LLC
October 4, 1996 - December 9, 2002
USAA INVESTMENT SERVICES COMPANY
April 9, 1996 - September 18, 1996
CITICORP INVESTMENT SERVICES
October 17, 1995 - December 19, 1995
KERCHEVILLE & COMPANY, INC.
October 5, 1995 - October 9, 1995
CITIGROUP GLOBAL MARKETS INC.
April 27, 1995 - May 5, 1995
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 7TO
Date: 5/26/2023
General Securities Representative ExaminationSeries 52TO
Date: 5/26/2023
Municipal Securities Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
