MV
Monica Venn
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 4687582
MV
Professional summary
Monica Venn is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in New York, New York.
Monica is registered as a RR (Registered Representative) and started their career in finance in 2003. Monica has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Monica Venn'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
September 22, 2016 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: 601 Lexington Ave 29th Floor, New York, NY 10022BD
CRD#: 30107
New York, NY
Past
June 8, 2012 - September 23, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
June 8, 2012 - September 23, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 10, 2006 - May 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JERSEY CITY, NJ
Past
May 10, 2006 - May 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 1, 2004 - April 27, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
November 24, 2003 - April 27, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Alabama(9/22/2016)
RR
Alaska(9/22/2016)
RR
Arizona(9/22/2016)
RR
Arkansas(9/22/2016)
RR
California(9/22/2016)
RR
Colorado(9/22/2016)
RR
Connecticut(9/22/2016)
RR
Delaware(9/22/2016)
RR
District of Columbia(9/22/2016)
RR
Florida(9/22/2016)
RR
Georgia(9/22/2016)
RR
Hawaii(9/22/2016)
RR
Idaho(9/22/2016)
RR
Illinois(9/22/2016)
RR
Indiana(9/22/2016)
RR
Iowa(9/22/2016)
RR
Kansas(9/22/2016)
RR
Kentucky(9/22/2016)
RR
Louisiana(9/22/2016)
RR
Maine(9/22/2016)
RR
Maryland(9/22/2016)
RR
Massachusetts(9/22/2016)
RR
Michigan(9/22/2016)
RR
Minnesota(9/22/2016)
RR
Mississippi(9/22/2016)
RR
Missouri(9/22/2016)
RR
Montana(9/22/2016)
RR
Nebraska(9/22/2016)
RR
Nevada(9/22/2016)
RR
New Hampshire(9/22/2016)
RR
New Jersey(9/22/2016)
RR
New Mexico(9/22/2016)
RR
New York(9/22/2016)
RR
North Carolina(9/22/2016)
RR
North Dakota(9/22/2016)
RR
Ohio(9/22/2016)
RR
Oklahoma(9/22/2016)
RR
Oregon(9/22/2016)
RR
Pennsylvania(9/22/2016)
RR
Puerto Rico(9/22/2016)
RR
Rhode Island(9/22/2016)
RR
South Carolina(9/22/2016)
RR
South Dakota(9/22/2016)
RR
Tennessee(9/22/2016)
RR
Texas(9/22/2016)
RR
Utah(9/22/2016)
RR
Vermont(9/22/2016)
RR
Virginia(9/22/2016)
RR
Washington(9/22/2016)
RR
West Virginia(9/22/2016)
RR
Wisconsin(9/22/2016)
RR
Wyoming(9/22/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
