Monica D. Woolard
Professional summary
Monica Doyle Woolard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Monica is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Monica had worked at 1 firm, which includes BANC ONE CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 1998 - January 1, 1999
BANC ONE CAPITAL MARKETS, 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
BANC ONE CAPITAL MARKETS, INC.
CRD#: 23065 / SEC#: , 8-40208
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE FINANCIAL CORPORATION | PARENT | |
| BALDINO, JAMES JOSEPH | MANAGING DIRECTOR | 1055005 |
| BAMMANN, LINDA B | VICE CHAIRMAN | 2353874 |
| BOSHART, JAMES STEWART III | EVP | 26474 |
| CHIRCOP, ALOYSIUS RALPH | MANAGING DIRECTOR | 2536911 |
| CLARKE, TERRENCE BRADY | SENIOR COMPLIANCE DIRECTOR / CROP | 2368988 |
| COATS, ROBERT TRUSTEN JR | SENIOR ASSOCIATE GENERAL COUNSEL | 2043399 |
| COLE, CHRISTINE ELEANOR | MANAGING DIRECTOR | 2756145 |
| DECORREVONT, PATRICE PURCELL | MANAGING DIRECTOR/SALES MANAGER | 2178639 |
| FELKER, WILLIAM ROBERT | PRESIDENT & CHIEF OPERATING OFFICER | 2354456 |
| HALLREPPEN, RICHARD JOSEPH | DIRECTOR/CHIEF ADMINISTRATIVE OFFICER | 2354462 |
| NEAL, JOHN ERIC | MANAGING DIRECTOR/VICE CHAIRMAN | 2262668 |
| ROMANI, WILLIAM RENO | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER | 2458879 |
| SCHABES, DAVID HENRY | BOCM CHAIRMAN/CHIEF EXECUTIVE OFFICER | 2368993 |
| SULLIVAN, MARGARET MARY | MANAGING DIRECTOR/CHIEF OPERATIONS OFFICER | 1940830 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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