Monique D. Saugstad
Professional summary
Monique D Saugstad, who also goes by Monique D Guvlekjian, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
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, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Monique D Saugstad's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2023 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017April 14, 2021 - May 17, 2023
EMBED CLEARING LLC
May 30, 2018 - February 11, 2020
VELOX CLEARING LLC
January 6, 2017 - July 31, 2017
VELOX SECURITIES, INC.
April 23, 2015 - December 31, 2016
ELECTRONIC TRANSACTION CLEARING, INC.
July 25, 2005 - April 17, 2015
FINANCE 500, INC.
July 8, 2004 - June 30, 2005
QUEST CAPITAL STRATEGIES, INC.
September 5, 2001 - July 2, 2002
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/8/2023)
(10/15/2025)
(3/21/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/16/2008
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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