Monica A. Schweitzer

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CRD#: 5924864

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 Ann Schweitzer was a registered financial professional .

Monica is a previously registered financial professional and started their career in finance in 2015. Monica had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 7, 2018 - September 13, 2019

DELTA-V CAPITAL, LLC

RIA

CRD#: 161800

BOULDER, CO

Past

December 22, 2015 - April 14, 2017

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

June 19, 2015 - April 14, 2017

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

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".

DELTA-V CAPITAL, LLC

DELTA-V CAPITAL, LLC | SCHALLER, DAVID

CRD#: 161800 / SEC#: 801-101495

RIA

Registered Investment Advisory firm - (7/10/2015 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/2015

General Securities Representative Examination

Current Firm

DELTA-V CAPITAL, LLC

DELTA-V CAPITAL, LLC | SCHALLER, DAVID

CRD#: 161800 / SEC#: 801-101495

RIA

Registered Investment Advisory firm - (7/10/2015 Approved)

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Contact information

Main Address

3001 Brighton Blvd. Suite 450, Denver, CO 80216

Mailing Address

Phone number

(303) 405-7565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A-2B (3/27/2025)

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 1,318,351,622

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	7/7/2015

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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Monica A. Schweitzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DELTA-V CAPITAL, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

Primary Firm SEC Registration

DELTA-V CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2015

SIE

Date: 4/14/2017

Series 7

Date: 6/18/2015

Current Firm

DELTA-V CAPITAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

DELTA-V CAPITAL, LLC

TRUST BUT VERIFY

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