Susan Monahan

ALLY INVEST ADVISORS

Pace, FL

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CRD#: 4059275

Professional summary

Susan Monahan, who also goes by Susan Kay Figi, Susan Kay Monahan, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Pace, Florida and ALLY INVEST SECURITIES LLC located in Perry Township, Ohio.

Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Susan has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Kay Figi | Susan Kay Monahan

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.

Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Associate Specialist - Invest Services. Dually licensed. 09/26/2022. 21-40 hrs/month. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally Invest customers who may hold self-directed or advisory accounts. Ally Bank. Non-Investment related. 601 S Tryon Street Charlotte NC 28202. Associate Specialist - Invest Services. 09/28/2022. Support Ally Bank customers by performing account maintenance (e.g., password reset, account information updates), money movements (e.g. deposits, withdrawals, CD renewals, etc.,) and providing education on deposit product offerings ( e.g. savings/checking accounts, CDs, etc.)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Monahan's CRS (Customer Relationship Summary).

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®

RIA

CRD#: 13787

CAPE CORAL, FL

Past

May 19, 2006 - November 2, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CAPE CORAL, FL

Past

April 26, 2006 - May 15, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CAPE CORAL, FL

Past

April 4, 2005 - February 21, 2006

FOCUSED INVESTMENTS L.L.C.

CRD#: 37532

CHICAGO, IL

Past

January 2, 2000 - April 7, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/9/2021)

Alaska
(9/9/2021)

Arizona
(9/9/2021)

Arkansas
(9/9/2021)

California
(9/9/2021)

Colorado
(9/9/2021)

Connecticut
(9/9/2021)

Delaware
(9/9/2021)

District of Columbia
(9/9/2021)

Florida
(9/9/2021)

IAR

Florida
(11/18/2021)

Georgia
(9/9/2021)

Hawaii
(9/9/2021)

Idaho
(9/9/2021)

Illinois
(9/9/2021)

Indiana
(9/9/2021)

Iowa
(9/9/2021)

Kansas
(9/9/2021)

Kentucky
(9/9/2021)

Louisiana
(9/9/2021)

Maine
(9/9/2021)

Maryland
(9/9/2021)

Massachusetts
(9/9/2021)

Michigan
(9/9/2021)

Minnesota
(9/9/2021)

Mississippi
(9/9/2021)

Missouri
(9/9/2021)

Montana
(9/10/2021)

Nebraska
(9/9/2021)

Nevada
(9/9/2021)

New Hampshire
(9/9/2021)

New Jersey
(9/9/2021)

New Mexico
(9/9/2021)

New York
(9/9/2021)

North Carolina
(9/9/2021)

North Dakota
(9/9/2021)

Ohio
(9/10/2021)

Oklahoma
(9/9/2021)

Oregon
(9/9/2021)

Pennsylvania
(9/9/2021)

Puerto Rico
(9/9/2021)

Rhode Island
(9/9/2021)

South Carolina
(9/9/2021)

South Dakota
(9/9/2021)

Tennessee
(9/9/2021)

Texas
(9/9/2021)

Utah
(9/9/2021)

Vermont
(9/9/2021)

Virginia
(9/9/2021)

Washington
(9/9/2021)

West Virginia
(9/9/2021)

Wisconsin
(9/9/2021)

Wyoming
(9/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/2/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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Contact information

Main Address

601 S. Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

Phone number

(855) 880-2559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)

Regulatory assets under management

Total Number of Accounts	76,058
AUM (Assets Under Management)	$ 1,389,572,606

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.

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Advisor Monitoring

Firm Stability Insights

Susan Monahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Monahan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLY INVEST SECURITIES LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

FOCUSED INVESTMENTS L.L.C.

EDWARD JONES

Primary Firm SEC Registration

ALLY INVEST ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2007

Series 63

Date: 2/2/2000

SIE

Date: 4/26/2017

Series 7

Date: 12/28/1999

FINRA

Current Firm

ALLY INVEST ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLY INVEST ADVISORS

TRUST BUT VERIFY

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