Monika L. Englund
Professional summary
Monika Lena Englund was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Monika is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Monika had worked at 1 firm, which includes CADARET GRANT & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2008 - April 10, 2013
CADARET, GRANT & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
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