Monica N. Smith
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 Nichole Smith, who also goes by Monica N Smith, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2001. Monica had worked at 8 firms and has passed the Series 66, 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 9, 2015 - November 1, 2016
FIDELITY BROKERAGE SERVICES LLC
May 2, 2011 - July 29, 2013
PNC WEALTH MANAGEMENT LLC
April 27, 2011 - July 29, 2013
PNC WEALTH MANAGEMENT LLC
April 2, 2008 - April 1, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 25, 2006 - April 1, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 17, 2005 - August 3, 2006
MISSIONSQUARE INVESTMENT SERVICES
August 16, 2005 - August 3, 2006
MISSIONSQUARE RETIREMENT
July 2, 2003 - June 30, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 2, 2003 - June 30, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 28, 2002 - June 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 18, 2002 - June 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 25, 2001 - May 7, 2002
UBS FINANCIAL SERVICES INC.
March 6, 2001 - May 7, 2002
UBS FINANCIAL SERVICES 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
