Monica L. Thorp
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 Lynne Thorp, who also goes by Monica L Roberson, Monica Lynne Roberson, Monica Lynne Rowley, Monica L Thorp, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2006. Monica had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - July 23, 2015
STERLING GLOBAL STRATEGIES, LLC
August 29, 2012 - December 31, 2014
STERLING GLOBAL STRATEGIES LLC
November 15, 2011 - July 27, 2015
APW CAPITAL, INC.
November 10, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
November 10, 2010 - November 21, 2011
TORREY PINES SECURITIES, INC.
October 28, 2008 - November 9, 2010
NRP ADVISORS, INC.
October 24, 2008 - November 9, 2010
NRP FINANCIAL, INC.
September 11, 2006 - October 31, 2008
UBS FINANCIAL SERVICES INC.
August 23, 2006 - October 31, 2008
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
STERLING GLOBAL STRATEGIES, LLC
CRD#: 172404 / SEC#: 801-80635
Contact information
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.
