Monica J. Placek
Professional summary
Monica Jane Placek, who also goes by Monica Jane Barnes, Monica Graves, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Monica is registered as a RR (Registered Representative) and started their career in finance in 1997. Monica has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 11 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Monica Jane Placek's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 16, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1250 Capital Of Texas Hwy S. #2-125, Austin, TX 78735June 19, 2003 - November 10, 2003
ELECTRONIC TRADING GROUP, LLC
May 13, 1997 - June 19, 2003
PROTRADER SECURITIES L.P.
March 27, 1997 - April 25, 1997
THE EXCHANGE, 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
(12/18/2003)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 9/30/2000
Limited Representative-Equity Trader ExamSeries 11
Date: 3/10/1997
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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