Monique B. Harris

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CRD#: 2936852

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.

Monique B Harris, who also goes by Monique Betty Harris, was a registered financial professional .

Monique is a previously registered financial professional and started their career in finance in 2001. Monique had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Monique Betty Harris

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.

OWNER "LAVIGNE INVESTMENT PROPERTIES, LLC", 201 ST CHARLES AVE, SUITE 2500, NEW ORLEANS, LA, 70170. NON-INVESTMENT RELATED, PERSONAL REAL ESTATE INVESTMENT, 10 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 4, 2021 - December 11, 2024

NAMCOA

RIA

CRD#: 133978

Houston, TX

Past

October 14, 2020 - December 18, 2020

MSC - BD, LLC

CRD#: 142927

LAKE OSWEGO, OR

Past

January 7, 2020 - June 1, 2020

PFS INVESTMENTS INC.

CRD#: 10111

HOUSTON, TX

Past

December 20, 2012 - December 31, 2017

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

July 7, 2010 - December 31, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HOUSTON, TX

Past

January 13, 2009 - December 31, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

HOUSTON, TX

Past

July 25, 2002 - July 14, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

July 9, 2002 - July 14, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

January 25, 2002 - July 16, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HOUSTON, TX

Past

September 17, 2001 - July 16, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/12/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/17/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/15/2001

General Securities Representative Examination

Current Firm

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

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Contact information

Main Address

107 Kilson Drive Suite 206, Mooresville, NC 28117

Mailing Address

999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

Phone number

(239) 593-5525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/31/2025)

ADV WRAP BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 312,332,592

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.

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Advisor Monitoring

Firm Stability Insights

Monique B. Harris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MSC - BD, LLC

PFS INVESTMENTS INC.

LIFEMARK SECURITIES CORP.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

NAMCOA

State Registrations and Notice Filings

Exams

Series 66

Date: 1/12/2002

SIE

Date: 12/31/2017

Series 31

Date: 11/17/2001

Series 7

Date: 9/15/2001

Current Firm

NAMCOA

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAMCOA

TRUST BUT VERIFY

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