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Michael B. Monahan

PEP ADVISORY LLC
NEW ORLEANS, LA 70118
Some features on this profile are disabled
CRD#: 4835580
MM

Professional summary

Michael Brian Monahan is a registered financial professional currently at PEP ADVISORY LLC located in New Orleans, Louisiana.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Brian Monahan'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

October 7, 2022 - Present

PEP ADVISORY LLC

Office #1: 25 Walnut St. Suite 207, New Orleans, LA 70118
BD
CRD#: 166636
NEW ORLEANS, LA
Past

May 23, 2016 - October 5, 2022

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
NEW ORLEANS, LA
Past

September 29, 2014 - May 5, 2016

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW ORLEANS, LA
Past

May 10, 2011 - September 29, 2014

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW ORLEANS, LA
Past

August 9, 2004 - May 11, 2011

PRITCHARD CAPITAL PARTNERS, LLC

BD
CRD#: 100480
NEW ORLEANS, LA

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
Louisiana
(10/7/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/2004
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: 8/6/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PEP ADVISORY LLC
CDH SECURITIES, LLC | PEP ADVISORY LLC | HEIKKINEN ENERGY SECURITIES, LLC

CRD#: 166636 / SEC#: , 8-69224

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

Main Address
100 Waugh Drive Suite 600, Houston, TX 77007
Mailing Address
100 Waugh Drive Suite 600, Houston, TX 77007
Phone number
(713) 930-0371
Established
Texas since 12/07/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INVICTA XV + LPLIMITED PARTNER/MEMBER
GUHA, JISHNUCHIEF COMPLIANCE OFFICER4908714
MOODY, WALKER NELSONCEO5007440
PICKERING, DANIEL RAYMANAGING DIRECTOR2832592
SCHAPS, MICHAEL ROBERTFINOP/CFO/PFO/POO1892138

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

PEP ADVISORY LLC

CRD#: 166636New Orleans, LA 70118

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