Mona I. Shields
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.
Mona Iris Shields, who also goes by Mona Iris Rabinowitz, was a registered financial professional .
Mona is a previously registered financial professional and started their career in finance in 1968. Mona had worked at 8 firms and has passed the Series 63, PC and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 1996 - October 29, 1999
BISHOP, ROSEN & CO., INC.
April 1, 1993 - October 3, 1996
WALSH MANNING SECURITIES, LLC
March 23, 1992 - February 12, 1993
PRENTICE SECURITIES, INCORPORATED
April 12, 1988 - December 23, 1991
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
January 29, 1988 - December 23, 1991
OPPENHEIMER & CO. INC.
November 28, 1977 - January 29, 1988
KUHNS BROTHERS & LAIDLAW, INC.
June 4, 1976 - December 16, 1977
PARRISH SECURITIES INC.
May 9, 1968 - May 30, 1976
JOHN MUIR & CO.
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
PC
Date: 1/9/1992
AMEX Put and Call ExamSeries 40
Date: 10/12/1972
Registered Principal ExaminationCurrent Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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