Monica L. Braun-hendy
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 Linda Braun-hendy, who also goes by Monica Linda Braun, Monica Sheets, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1997. Monica had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2019 - May 17, 2021
STONEMARK WEALTH MANAGEMENT
June 8, 2010 - June 9, 2015
U.S. BANCORP ADVISORS, LLC
May 25, 2010 - June 9, 2015
U.S. BANCORP ADVISORS, LLC
August 6, 2008 - April 2, 2009
MML INVESTORS SERVICES, LLC
April 17, 2008 - April 2, 2009
MML INVESTORS SERVICES, LLC
August 16, 2006 - February 22, 2008
WAMU INVESTMENTS, INC.
August 16, 2006 - February 22, 2008
WAMU INVESTMENTS, INC.
June 13, 2005 - August 14, 2006
VP DISTRIBUTORS LLC
May 20, 2004 - June 17, 2005
CITICORP INVESTMENT SERVICES
December 5, 2001 - May 16, 2002
LPL FINANCIAL LLC
October 21, 1998 - December 3, 2001
IDS LIFE INSURANCE COMPANY
October 21, 1998 - December 3, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
December 23, 1997 - September 25, 1998
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
STONEMARK WEALTH MANAGEMENT
CRD#: 158413 / SEC#: 801-77286
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
Current Firm
STONEMARK WEALTH MANAGEMENT
CRD#: 158413 / SEC#: 801-77286
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 853 |
| AUM (Assets Under Management) | $ 516,309,155 |
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.
