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MJ

Monique L. Johnson-lascelles

SS&C MARKET SERVICES
Braintree, MA 02184
Some features on this profile are disabled
CRD#: 3169243
MJ

Professional summary

Monique Loretta Johnson-lascelles, who also goes by Monique Loretta Johnson, Monique Loretta Lascelles, Monique Lascelles, is a registered financial professional currently at SS&C MARKET SERVICES, LLC located in Braintree, Massachusetts.

Monique is registered as a RR (Registered Representative) and started their career in finance in 2001. Monique has worked at 8 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Monique Loretta Johnson | Monique Loretta Lascelles | Monique Lascelles

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 Monique Loretta Johnson-lascelles'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

November 15, 2018 - Present

SS&C MARKET SERVICES, LLC

Office #1: 30 Braintree Hill Park, Braintree, MA 02184
BD
CRD#: 23568
Braintree, MA
Past

February 20, 2014 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHARLOTTE, NC
Past

February 20, 2014 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

January 9, 2014 - March 1, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
CHARLOTTE, NC
Past

June 1, 2009 - May 26, 2010

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

October 29, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
JERSEY CITY, NJ
Past

September 28, 2006 - August 2, 2007

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

January 1, 2001 - September 22, 2003

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/9/2014
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/10/2016
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SM
SS&C MARKET SERVICES, LLC
AE SERVICES, INC. | WALL STREET PREFERRED MONEY MANAGERS, INC. | WALL STREET ADVISORS, LLC | WALL STREET ADVISORS, INC. | WALL STREET ADVISOR SERVICES, LLC | SS&C MARKET SERVICES, LLC | DST MARKET SERVICES, LLC

CRD#: 23568 / SEC#: , 8-40530

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Post Office Square 9th Floor, Boston, MA 02109
Mailing Address
One Post Office Square 9th Floor, Boston, MA 02109
Phone number
(770) 370-4150
Established
New York since 01/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SS&C GIDS, INC.100% OWNER
BECK, DANIEL BRIANPRESIDENT3025596
LONG, PATRICK JEROMEHEAD OF OPERATIONS6093124
MULKERN, JOHN JOSEPH JR.CHIEF COMPLIANCE OFFICER AND SECRETARY4197230
SCHELL, BRIAN NORMANASSISTANT SECRETARY4414042
STUCKY, TODD DOUGLASFINOP, PRINCIPAL FINANCIAL OFFICER1551348

Disclosures

Regulatory Event1

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.

Company Information

SS&C MARKET SERVICES, LLC

CRD#: 23568Braintree, MA 02184

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