Monique E. West

CAPITAL CLIENT GROUP

San Antonio, TX

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CRD#: 5262278

Professional summary

Monique Edwards West, who also goes by Monique L Edwards, Monique Lashawn Edwards, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in San Antonio, Texas.

Monique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Monique has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monique L Edwards | Monique Lashawn Edwards

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monique Edwards West's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Monique Edwards West's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 2, 2018 - Present

CAPITAL CLIENT GROUP, INC.

Office #2: 3500 Wiseman Blvd, San Antonio, TX 78251-4321

RIA

CRD#: 6247

San Antonio, TX

Current

November 1, 2018 - Present

CAPITAL CLIENT GROUP, INC.

Office #1: 3500 Wiseman Blvd, San Antonio, TX 78251-4321

RIA

CRD#: 6247

San Antonio, TX

Past

September 27, 2018 - October 16, 2018

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

September 27, 2018 - October 16, 2018

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

July 19, 2016 - October 13, 2016

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Kaiserslautern,

Past

July 19, 2016 - October 13, 2016

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

KAISERSLAUTERN,

Past

September 18, 2015 - June 28, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

October 22, 2014 - June 28, 2016

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

January 26, 2011 - October 10, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

SAN ANTONIO, TX

Past

January 2, 2007 - December 21, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAN ANTONIO, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL CLIENT GROUP, INC.

AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.

CRD#: 6247 / SEC#: 801-77946, 8-17168

RIA

Registered Investment Advisory firm - SEC (4/25/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/15/2024)

California
(5/30/2024)

District of Columbia
(7/22/2024)

Indiana
(5/29/2024)

Texas
(11/1/2018)

IAR

Texas
(11/2/2018)

Washington
(7/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/18/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/26/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITAL CLIENT GROUP, INC.

AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.

CRD#: 6247 / SEC#: 801-77946, 8-17168

RIA

Registered Investment Advisory firm - SEC (4/25/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

333 S. Hope St. 55th Fl. 55th Floor, Los Angeles, CA 90071-1406

Mailing Address

333 S. Hope St. 55th Fl., Los Angeles, CA 90071

Phone number

(213) 486-9200

Established

California since 05/09/1972

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

911

SEC notice filing (24 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AFD FORM ADV PART 2A (9/26/2025)

Direct owners and executive officers

Name	Position	CRD#
CAPITAL RESEARCH AND MANAGEMENT COMPANY	STOCKHOLDER
AGUILAR, ALBERT JR	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR	5106724
BURTON, RENE MARGARET	TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR	1956766
MCHALE, TIMOTHY WILLIAM	SECRETARY	4244021
O'CONNOR, MATTHEW PHILIP	CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR	2427203
PIKEN, KEITH ALAN	SENIOR VICE PRESIDENT, DIRECTOR	2576730
TRIESSL, MICHAEL JAMES	DIRECTOR	3060797

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.

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Firm Stability Insights

Monique E. West

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monique Edwards West's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Monique Edwards West's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL CLIENT GROUP, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

NYLIFE SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

CAPITAL CLIENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/2015

Series 63

Date: 1/12/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2014

Series 6

Date: 12/29/2006

Series 24

Date: 8/26/2023

FINRA

Current Firm

CAPITAL CLIENT GROUP, INC.

Contact information

SEC notice filing (24 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

CAPITAL CLIENT GROUP, INC.

TRUST BUT VERIFY

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