Richard M. Monroe
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.
Richard Mark Monroe was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 62, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2019 - September 26, 2019
OMEGA POINT SECURITIES LLC
August 15, 2014 - March 21, 2017
PT SECURITIES, LLC
November 13, 2006 - June 3, 2008
WELLS FARGO INVESTMENTS, LLC
November 2, 2006 - June 3, 2008
WELLS FARGO INVESTMENTS, LLC
January 14, 2005 - March 9, 2005
WELLS FARGO INVESTMENTS, LLC
March 9, 2004 - March 9, 2005
WELLS FARGO INVESTMENTS, LLC
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
Series 62
Date: 6/28/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
OMEGA POINT SECURITIES LLC
CRD#: 168935 / SEC#: , 8-69344
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OP ACQUISITION LLC | MEMBER | |
| SELF, JONATHAN ANDREW | CEO/CCO/FINOP/CFO | 4497531 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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