Monique J. Harrington
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.
Monique Jeanne Harrington, who also goes by Monique Jeanne Guay, Monique Jeanne Guay Harrington, was a registered financial professional .
Monique is a previously registered financial professional and started their career in finance in 2000. Monique had worked at 9 firms and has passed the Series 65, 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
June 15, 2018 - September 14, 2020
CUNA BROKERAGE SERVICES, INC.
June 14, 2018 - September 14, 2020
CUNA BROKERAGE SERVICES, INC.
March 11, 2015 - May 25, 2018
CITIZENS SECURITIES, INC.
December 17, 2014 - May 25, 2018
CITIZENS SECURITIES, INC.
July 11, 2006 - December 5, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 21, 2004 - February 20, 2004
CHARLES SCHWAB & CO., INC.
August 8, 2003 - August 19, 2003
FINACORP SECURITIES
August 8, 2003 - August 19, 2003
FINACORP SECURITIES
April 5, 2002 - July 8, 2003
STRATEGIC ADVISERS LLC
December 6, 2000 - July 8, 2003
FIDELITY BROKERAGE SERVICES LLC
April 4, 2000 - October 25, 2000
IDS LIFE INSURANCE COMPANY
April 4, 2000 - October 25, 2000
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
