Monica J. Berger
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 Joyce Berger, who also goes by Jollo Berger, Monica Joyce Jolla, Monica Joyce Jollo, Monica Jollo, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1997. Monica had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2015 - October 16, 2024
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
April 3, 2009 - December 31, 2010
MML INVESTORS SERVICES, LLC
May 1, 2002 - May 11, 2007
WAMU CAPITAL CORP.
September 6, 2001 - September 4, 2002
WAMU INVESTMENTS, INC.
July 12, 1999 - September 29, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
April 29, 1997 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
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
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. | OWNER | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| CURRAN, AMY ELIZABETH | US ADVISER CHIEF COMPLIANCE OFFICER | 4876594 |
| EL-HILLOW, KATHERINE ANNE | DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER | 4889284 |
| LENZO, JASON ABRAM | DIRECTOR | 2972909 |
| OSTROVSKY, AARON ALEXANDER | DIRECTOR | 7851945 |
| PALTROWITZ, MARK DAVID | CHIEF RISK OFFICER | 2787627 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 79,682,796,997 |
Disclosures
| Regulatory Event | 3 |
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.
