Rebecca M. Monty
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.
Rebecca May Monty, who also goes by Rebecca M Monty, Rebecca May Smerek, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 2006. Rebecca had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2022 - August 14, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 17, 2022 - August 14, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 25, 2017 - December 31, 2020
MML INVESTORS SERVICES, LLC
March 25, 2017 - December 31, 2020
MML INVESTORS SERVICES, LLC
October 5, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 4, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
August 1, 2007 - July 29, 2016
MSI FINANCIAL SERVICES, INC.
September 4, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 4, 2006 - July 29, 2016
MSI FINANCIAL SERVICES, INC.
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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