Monica Rae
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.
Monica Rae, who also goes by Monica Ronovsky, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2005. Monica had worked at 6 firms and has passed the Series 66, Series 65, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2011 - March 24, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 27, 2009 - December 2, 2011
LIGHTHOUSE FINANCIAL LLC
January 28, 2009 - December 22, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 22, 2007 - January 28, 2009
CETERA WEALTH SERVICES, LLC
November 13, 2006 - August 7, 2007
WELLS FARGO INVESTMENTS, LLC
November 13, 2006 - August 7, 2007
WELLS FARGO INVESTMENTS, LLC
November 17, 2005 - April 3, 2006
WADDELL & REED
November 16, 2005 - April 3, 2006
WADDELL & REED
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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
