Monique V. Sinmao
Professional summary
Monique V. Sinmao, who also goes by Monique Sinmao, is a registered financial advisor currently at SOL CAPITAL MANAGEMENT CO located in Rockville, Maryland.
Monique is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Monique has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 87 and Series 86 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Monique V. Sinmao's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2019 - Present
SOL CAPITAL MANAGEMENT CO
Office #1: 111 Rockville Pike Suite 750, Rockville, MD 20850May 20, 2016 - July 8, 2016
INDEPENDENT BROKERAGE SOLUTIONS LLC
October 5, 2006 - November 4, 2008
HOVDE GROUP, LLC
December 6, 2004 - June 26, 2006
J.P. MORGAN SECURITIES INC.
April 11, 2001 - March 23, 2004
LEHMAN BROTHERS INC.
December 4, 2000 - March 26, 2001
UBS SECURITIES LLC
Primary Firm SEC Registration
SOL CAPITAL MANAGEMENT CO
CRD#: 110226 / SEC#: 801-29829
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/8/2019)
(8/21/2020)
Exams
Current Firm
SOL CAPITAL MANAGEMENT CO
CRD#: 110226 / SEC#: 801-29829
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,105 |
| AUM (Assets Under Management) | $ 2,980,106,350 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2025 | ||
| 09/09/2024 | ||
| 04/09/2024 | ||
| 10/20/2022 |
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.
