Louis M. Monroe
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.
Louis Mark Monroe was a registered financial advisor .
Louis is a previously registered financial advisor and started their career in finance in 1998. Louis had worked at 4 firms and has passed the Series 63, Series 65, 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
February 6, 2018 - May 15, 2019
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
August 18, 2014 - June 2, 2015
RYAN LABS ASSET MANAGEMENT
April 19, 2005 - August 30, 2012
RBC CAPITAL MARKETS, LLC
March 9, 2001 - August 30, 2012
RBC CAPITAL MARKETS, LLC
January 16, 1998 - March 9, 2001
UBS ASSET MANAGEMENT (US) 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
Exams
Current Firm
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
CRD#: 170062 / SEC#: , 8-69407
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
