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MT

Monet R. Tellier

ASSETMARK BROKERAGE
Phoenix, AZ 85012-2426
Some features on this profile are disabled
CRD#: 4485998
MT

Professional summary

Monet Rae Tellier, who also goes by Monet Rae Kies, N/a, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.

Monet is registered as a RR (Registered Representative) and started their career in finance in 2003. Monet has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 26, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Monet Rae Kies | N/a

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Monet Rae Tellier's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 15, 2014 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 3200 N. Central Avenue 7th Floor, Phoenix, AZ 85012-2426
BD
CRD#: 169804
Phoenix, AZ
Past

May 18, 2010 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

August 4, 2009 - May 4, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PHOENIX, AZ
Past

March 23, 2007 - March 3, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

July 5, 2006 - March 8, 2007

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

December 3, 2004 - May 4, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PHOENIX, AZ
Past

October 13, 2004 - May 1, 2006

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
PHOENIX, AZ
Past

March 24, 2003 - September 14, 2004

SCOTTRADE, INC.

BD
CRD#: 8206
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/15/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/16/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/5/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/22/2024
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/30/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/16/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/25/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AB
ASSETMARK BROKERAGE, LLC
ASSETMARK BROKERAGE, LLC

CRD#: 169804 / SEC#: , 8-69391

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
1655 Grant Street 10th Floor, Concord, CA, 94520
Mailing Address
1655 Grant Street 10th Floor, Concord, CA, 94520
Phone number
(818) 528-3727
Established
Delaware since 09/25/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASSETMARK FINANCIAL HOLDINGS, INC.OWNER
HANSEN, CARRIE ELLENPRESIDENT/ MANAGING PRINCIPAL4781315
KOVAL, JOHN HENRYAML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO2468284
LAMBUTH, RYAN SCOTTCHIEF COMPLIANCE OFFICER5382199

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.

Company Information

ASSETMARK BROKERAGE, LLC

CRD#: 169804Phoenix, AZ 85012-2426

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