Monica S. Bucciarelli
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 Sonnier Bucciarelli, who also goes by Monica Sonnier Bucciarelli, Monica Sue Bucciarelli, Monica Bucciarelli, Monica S. Jelley, Monica Jelley, Monica Sonnier O'halloran, Monica Sue Sonnier, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2004. Monica had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 24, Series 28 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 12, 2017 - August 5, 2025
TOWNSQUARE CAPITAL, LLC
March 14, 2016 - October 2, 2017
ALLEGIS INVESTMENT ADVISORS, LLC
January 11, 2016 - October 2, 2017
ALLEGIS INVESTMENT SERVICES, LLC
June 5, 2015 - September 11, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 27, 2013 - June 5, 2015
STERNE, AGEE & LEACH, INC.
April 10, 2006 - January 25, 2013
FHN FINANCIAL SECURITIES CORP.
December 10, 2004 - January 25, 2006
FNBB CAPITAL MARKETS, LLC
Primary Firm SEC Registration
TOWNSQUARE CAPITAL, LLC
CRD#: 288576 / SEC#: 801-110591
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
Series 28
Date: 10/15/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TOWNSQUARE CAPITAL, LLC
CRD#: 288576 / SEC#: 801-110591
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 50,715 |
| AUM (Assets Under Management) | $ 14,989,060,522 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/14/2024 | ||
| 10/27/2023 | ||
| 09/01/2022 |
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.
