Monica A. Coles
Professional summary
Monica Ann Coles, who also goes by Monica Ann Cavallo, Monica Ann Mosher, is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Chittenango, New York and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Indianapolis, Indiana.
Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Monica has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Monica Ann Coles's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2026 - Present
THURSTON SPRINGER ADVISORS
February 19, 2026 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
Office #1: 9000 Keystone Crossing Suite 700, Indianapolis, IN 46240February 14, 2022 - September 23, 2025
PINNACLE INVESTMENTS, LLC
February 14, 2022 - September 23, 2025
PINNACLE INVESTMENTS, LLC
November 15, 2021 - February 15, 2022
SCF SECURITIES, INC.
May 12, 2021 - February 15, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
May 12, 2021 - February 15, 2022
SORRENTO PACIFIC FINANCIAL, LLC
May 12, 2021 - February 15, 2022
NEXT FINANCIAL GROUP, INC.
May 12, 2021 - February 15, 2022
CUSO FINANCIAL SERVICES, L.P.
February 1, 2019 - February 15, 2022
CADARET, GRANT & CO., INC.
January 28, 2019 - February 15, 2022
CADARET, GRANT & CO., INC.
June 18, 2013 - February 9, 2017
MORGAN STANLEY
June 14, 2013 - February 9, 2017
MORGAN STANLEY
September 3, 2010 - October 26, 2012
RBC CAPITAL MARKETS, LLC
May 27, 2009 - October 26, 2012
RBC CAPITAL MARKETS, LLC
January 15, 2009 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
November 13, 2008 - December 17, 2008
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2026)
(2/19/2026)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
THURSTON SPRINGER ADVISORS
CRD#: 299201 / SEC#: 801-114256
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
