Mona Iris Shields
Professional Summary
Mona Iris Shields, who also goes by Mona Iris Rabinowitz, was a registered financial advisor. Mona was a previously registered financial professional and started their career in finance 1968 - 1999. Mona had worked at 8 firms and has passed the Series 63, PC and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mona Iris Rabinowitz
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
58 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
BISHOP, ROSEN & CO., INC.
Contact Information
Established
New York since 08/18/1964Firm Type
Other Types of Legal FormationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
15Arbitration
1Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jan 1992Series 40 — Registered Principal Examination
Passed Oct 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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