Niles G. Monica
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.
Niles G. Monica, who also goes by Niles Gerard Monica, was a registered financial professional .
Niles is a previously registered financial professional and started their career in finance in 2004. Niles had worked at 7 firms and has passed the Series 63, Series 65, Series 66, Series 3, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2024 - August 27, 2025
MISSIONSQUARE INVESTMENT SERVICES
January 3, 2011 - January 12, 2022
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 21, 2010 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
September 29, 2009 - October 7, 2010
MORGAN STANLEY
September 2, 2009 - October 7, 2010
MORGAN STANLEY
January 31, 2008 - August 10, 2009
GUARDIAN INVESTOR SERVICES LLC
March 15, 2005 - April 10, 2007
LORD, ABBETT & CO. LLC
May 25, 2004 - April 10, 2007
LORD ABBETT DISTRIBUTOR 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
Current Firm
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
