Monika R. Brown
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.
Monika Rose Brown was a registered financial professional .
Monika is a previously registered financial professional and started their career in finance in 2006. Monika had worked at 4 firms and has passed the Series 66, SIE, Series 87, Series 86, Series 55, Series 7 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
November 16, 2011 - March 2, 2017
PENSERRA SECURITIES, LLC
October 11, 2010 - October 18, 2011
BLAYLOCK VAN, LLC
July 12, 2006 - December 31, 2008
GBS FINANCIAL CORP.
June 27, 2006 - December 21, 2008
MERCENARY CAPITAL LLC
January 1, 2006 - December 31, 2008
GBS FINANCIAL CORP.
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
Series 55
Date: 6/30/2007
Limited Representative-Equity Trader ExamCurrent Firm
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
