Carly E. Monahan
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.
Carly Elizabeth Monahan, who also goes by Carly Elizabeth Dean, was a registered financial professional .
Carly is a previously registered financial professional and started their career in finance in 2006. Carly had worked at 3 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2008 - February 6, 2015
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
February 29, 2008 - May 23, 2008
RBC CAPITAL MARKETS, LLC
January 31, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
March 10, 2006 - July 10, 2006
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
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 37
Date: 2/11/2006
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
CRD#: 38108 / SEC#: , 8-48233
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE CAPITAL MARKETS CANADA LTD. (FORMERLY ORION SECURITIES INC.) | SHAREHOLDER (PARENT COMPANY) | |
| ALTARAS, ANDRE YEHUDA | CHIEF OPERATING OFFICER (12/2015) | 5625662 |
| CONAHAN, JAMES S | CFO/FINOP | 2538695 |
| CRISTALL, DANIEL JOHN | DIRECTOR | 6254685 |
| DOYLE, JAMES DAVID TATE | DIRECTOR | 7151466 |
| HEBERT-SEYNETT, CHARLES | SUPERVISORY PRINCIPAL | 6620102 |
| ROZIER, STEPHANE | DIRECTOR | 7198309 |
| WONG, AUGUSTINE MING | CHIEF COMPLIANCE OFFICER | 4682800 |
Disclosures
| Regulatory Event | 7 |
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.
