Mona M. Foch
Professional summary
Mona Maria Foch is a registered financial professional currently at PPHB SECURITIES LP located in Houston, Texas.
Mona is registered as a RR (Registered Representative) and started their career in finance in 1996. Mona has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mona Maria Foch's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2014 - Present
PPHB SECURITIES LP
Office #1: 1885 St. James Place Suite 900, Houston, TX 77056October 1, 2008 - June 11, 2014
J.P. MORGAN SECURITIES LLC
July 7, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 23, 1996 - January 4, 2002
J.P. MORGAN SECURITIES 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
(6/30/2014)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PPHB SECURITIES LP
CRD#: 132074 / SEC#: , 8-66550
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, RAYMOND LLOYD JR. | LIMITED PARTNER/REGISTERED PRINCIPAL | 4144874 |
| BUCHANAN, JOE BLAKE | LIMITED PARTNER/REGISTERED PRINCIPAL | 5095659 |
| HOEPFL, JOSEPH ALLEN | CHIEF COMPLIANCE OFFICER/LIMITED PARTNER/REGISTERED PRINCIPAL | 2950986 |
| PARKS PATON HOEPFL & BROWN, LLC | GENERAL PARTNER | |
| SCHAPS, MICHAEL ROBERT | FINOP/CFO/PFO/POO | 1892138 |
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.
