Nicole L. Monlon
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.
Nicole Lia Monlon, who also goes by Nicole L Monlon, Nicole Monlon, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2005. Nicole had worked at 9 firms and has passed the Series 63, 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
October 7, 2021 - January 7, 2025
DWS DISTRIBUTORS, INC.
June 4, 2020 - August 18, 2020
SELECT CAPITAL CORPORATION
November 7, 2016 - June 21, 2019
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
April 17, 2014 - August 24, 2016
CNL SECURITIES CORP.
March 9, 2012 - April 8, 2014
CAREY FINANCIAL, LLC
September 16, 2009 - October 5, 2010
OAK STREET SECURITIES, INC.
July 23, 2008 - November 26, 2008
AFA FINANCIAL GROUP, LLC
April 10, 2007 - August 26, 2008
GRIFFIN CAPITAL SECURITIES, LLC
June 23, 2005 - September 6, 2006
GRUBB & ELLIS SECURITIES, 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
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
