MC
Monica Cleves
VECTORGLOBAL IAG
Miami, FL 33131
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CRD#: 4668953
MC
Professional summary
Monica Cleves is a registered financial advisor currently at VECTORGLOBAL IAG, INC. located in Miami, Florida and VECTORGLOBAL WMG located in Miami, Florida.
Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Monica has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Monica Cleves'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®
NoneExperience
Current
March 16, 2015 - Present
VECTORGLOBAL IAG, INC.
Office #1: 1001 Brickell Bay Drive Suite 1900, Miami, FL 33131RIA
CRD#: 147129
Miami, FL
Current
May 25, 2010 - Present
VECTORGLOBAL WMG
Office #1: 1001 Brickell Bay Drive Suite 1900, Miami, FL 33131BD
CRD#: 32396
Miami, FL
Past
January 29, 2010 - May 26, 2010
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 17053
BOGOTA,
Past
May 29, 2003 - June 26, 2006
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 17053
SAN JUAN, PR
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VI
VECTORGLOBAL IAG, INC.
FPMI LLC DBA FPW INTERNATIONAL | VECTORGLOBAL IAG, INC. | VECTORGLOBAL IAG
CRD#: 147129 / SEC#: 801-110128
RIA
Registered Investment Advisory firm - (3/17/2017 Approved)Florida
Registered Investment Advisory firm - (5/10/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2014 Failure to Renew)Iowa
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (11/7/2014 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(2/3/2015)
IAR
Florida(3/16/2015)
RR
Nevada(1/10/2017)
RR
New York(3/21/2017)
RR
Ohio(10/17/2014)
RR
Texas(2/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VECTORGLOBAL IAG, INC.
FPMI LLC DBA FPW INTERNATIONAL | VECTORGLOBAL IAG, INC. | VECTORGLOBAL IAG
CRD#: 147129 / SEC#: 801-110128
RIA
Registered Investment Advisory firm - (3/17/2017 Approved)Florida
Registered Investment Advisory firm - (5/10/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2014 Failure to Renew)Iowa
Registered Investment Advisory firm - (2/6/2018 Terminated)New York
Registered Investment Advisory firm - (11/7/2014 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1001 Brickell Bay Drive Suite 1900, Miami, FL 33131
Mailing Address
Phone number
(305) 350-3350
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,833 |
| AUM (Assets Under Management) | $ 1,692,879,789 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VECTORGLOBAL IAG, INC.
CRD#: 147129Miami, FL 33131TRUST BUT VERIFY
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