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Monalisa Raass Como

CRD# 2536504·Registered 1996 - 2022
Previously Registered: Being a previously registered professional could mean that Monalisa 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.

Professional Summary

Monalisa Raass Como, who also goes by Monalisa R Dibba, Monalisa Raass Dibba, Monalisa T Raass, Monalisa Tupou Raass, was a registered financial advisor. Monalisa was a previously registered financial professional and started their career in finance 1996 - 2022. Monalisa had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Monalisa R Dibba, Monalisa Raass Dibba, Monalisa T Raass, Monalisa Tupou Raass

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

ALL OF US SECURITIES LLC·CRD# 292163
BD
San Jose, CA
March 23, 2022 - September 23, 2022
SECURRENCY SECURITIES INC.·CRD# 309087
BD
Bedford Hills, NY
October 8, 2021 - November 5, 2021
CAPITAL ONE INVESTING, LLC·CRD# 45744
BD
Mclean, VA
July 25, 2016 - August 1, 2019
TD AMERITRADE CLEARING, INC.·CRD# 5633
BD
Fort Worth, TX
January 4, 2010 - October 4, 2013
TD AMERITRADE, INC.·CRD# 7870
BD
Fort Worth, TX
December 22, 2008 - October 4, 2013
OSAIC SERVICES, INC.·CRD# 133763
BD
Scottsdale, AZ
August 22, 2008 - October 28, 2008
E*TRADE CLEARING LLC·CRD# 25025
BD
Arlington, VA
September 3, 2002 - May 20, 2008
E*TRADE SECURITIES LLC·CRD# 29106
BD
Jersey City, NJ
March 21, 1996 - September 3, 2002

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Current Firm

AO
ALL OF US SECURITIES LLC

ALL OF US SECURITIES LLC | EMPALA SECURITIES, LLC

CRD#: 292163 / SEC#: 8-70073
BD
Terminated by SEC on 10/02/2022

Contact Information

Established

Delaware since 11/22/2017

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ALL OF US FINANCIAL INC.OWNER—
ALVAREZ, ENRIQUEFINOP4622342
BOUDROT, SUSAN MARIECRO AND CCO2472538
HAGEN, RICHARD JOHN JRCEO2185011

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1999About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2017About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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