Monica L. Speight
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 Laverne Speight, who also goes by Monica L Cooper, Monica Cooper-speight, Monica L Speight, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2008. Monica had worked at 2 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
April 15, 2010 - August 6, 2015
E*TRADE CLEARING LLC
December 22, 2008 - October 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2008 - October 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
E*TRADE CLEARING LLC
CRD#: 25025 / SEC#: , 8-41354
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ENGEL, STEVEN JAY | MANAGER | 6474140 |
| INGGS, DAVID M | MANAGER | 4875173 |
| INGGS, DAVID M | CHIEF EXECUTIVE OFFICER | 4875173 |
| INGGS, DAVID M | PRESIDENT | 4875173 |
| MASTRIANNI, JOSEPH FRANCIS | CHIEF COMPLIANCE OFFICER | 1131254 |
| MURRAY, MATTHEW ANDREW | CHIEF OPERATIONS OFFICER | 4009310 |
| MURRAY, MATTHEW ANDREW | MANAGER | 4009310 |
| SHER, LORI SUE | SECRETARY | 5509677 |
| SIMONICH, BRENT BLAIN | FINOP | 3254859 |
| SIMONICH, BRENT BLAIN | MANAGER | 3254859 |
| SIMONICH, BRENT BLAIN | CHIEF FINANCIAL OFFICER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 1 |
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.
