Monica L. Difiore

MERGER & ACQUISITION CAPITAL SERVICES

New York, NY 10022

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CRD#: 2966552

Professional summary

Monica Lisa Difiore, who also goes by Monica Lisa Guarneri, is a registered financial professional currently at MERGER & ACQUISITION CAPITAL SERVICES, LLC located in New York, New York and THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.

Monica is registered as a RR (Registered Representative) and started their career in finance in 1999. Monica has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Monica Lisa Guarneri

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Monica Lisa Difiore's CRS (Customer Relationship Summary).

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

Current

May 11, 2017 - Present

MERGER & ACQUISITION CAPITAL SERVICES, LLC

Office #1: 320 East 53rd Street, New York, NY 10022

CRD#: 135113

New York, NY

Current

May 2, 2018 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830

CRD#: 160209

Greenwich, CT

Current

September 6, 2023 - Present

ENVERRA CAPITAL LLC

Office #1: 200 Massachusetts Ave Nw Suite 700, Washington, DC 20001

CRD#: 129103

WASHINGTON, DC

Current

July 26, 2024 - Present

BELL POTTER SECURITIES (US) LLC

Office #1: 444 Madison Ave Floor 39, New York, NY 10022

CRD#: 289328

New York, NY

Past

March 3, 2016 - June 26, 2017

TRITON PACIFIC SECURITIES, LLC

CRD#: 139919

EL SEGUNDO, CA

Past

March 1, 2016 - June 29, 2018

LOUIS CAPITAL MARKETS, LLC

CRD#: 48013

PARIS,

Past

January 6, 2009 - October 12, 2015

WYNSTON HILL CAPITAL, LLC

CRD#: 103811

BRANDON, SD

Past

October 23, 2008 - December 31, 2008

INTE SECURITIES LLC

CRD#: 47107

BOCA RATON, FL

Past

February 9, 2007 - July 31, 2008

ARJENT LTD.

CRD#: 35909

NEW YORK, NY

Past

February 7, 2007 - July 31, 2008

MCBARRON CAPITAL LLC

CRD#: 131431

GREENWICH, CT

Past

January 3, 2006 - February 1, 2007

S.W. BACH & COMPANY

RIA

CRD#: 43522

PORT WASHINGTON, NY

Past

March 5, 1999 - February 1, 2007

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/11/2017)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/2/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/21/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 7/29/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/7/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BELL POTTER SECURITIES (US) LLC

CRD#: 289328 / SEC#: , 8-69991

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

444 Madison Ave Floor 39, New York, NY 10022

Mailing Address

444 Madison Ave, New York, NY 10022

Phone number

+1 (917) 819-1410

Established

Delaware since 05/05/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BELL POTTER (US) HOLDINGS INC.	SHAREHOLDER
BELL, COLIN MORTON	DIRECTOR	4373333
COSSETTINI, STEVE	MANAGING DIRECTOR	5703408
DIFIORE, MONICA LISA	CCO	2966552
GLYNN, MICHAEL GERARD	CHIEF FINANCIAL OFFICER	3219445
LEE, CINDY-JANE	CHIEF LEGAL OFFICER AND SECRETARY	6832713

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Monica L. Difiore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Monica Lisa Difiore's CRS (Customer Relationship Summary).

Certified licenses

Experience

THIRD SEVEN CAPITAL LLC

ENVERRA CAPITAL LLC

BELL POTTER SECURITIES (US) LLC

TRITON PACIFIC SECURITIES, LLC

LOUIS CAPITAL MARKETS, LLC

WYNSTON HILL CAPITAL, LLC

INTE SECURITIES LLC

ARJENT LTD.

MCBARRON CAPITAL LLC

S.W. BACH & COMPANY

S.W. BACH & COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2005

Series 63

Date: 12/8/1997

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/2/2006

Series 7

Date: 11/21/1997

Series 14

Date: 1/2/2023

Series 4

Date: 7/29/1999

Series 24

Date: 4/7/1999

FINRA

Current Firm

BELL POTTER SECURITIES (US) LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BELL POTTER SECURITIES (US) LLC

TRUST BUT VERIFY

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