Monica A. Rubits
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 Anne Rubits, who also goes by Monica Anne Price, Monica Rubits, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2015. Monica had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2025 - March 13, 2026
KESTRA INVESTMENT SERVICES, LLC
October 25, 2024 - April 2, 2025
LPL FINANCIAL LLC
April 10, 2024 - October 10, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 11, 2020 - August 11, 2021
ELECTRONIC TRANSACTION CLEARING, INC.
January 7, 2020 - August 11, 2021
APEX CLEARING CORPORATION
August 16, 2018 - January 2, 2020
AVANTAX INVESTMENT SERVICES, INC.
April 2, 2018 - August 10, 2018
TD AMERITRADE CLEARING, INC.
March 28, 2018 - August 10, 2018
TD AMERITRADE, INC.
June 20, 2017 - December 22, 2017
AVANTAX INVESTMENT SERVICES, INC.
April 21, 2016 - June 5, 2017
TD AMERITRADE CLEARING, INC.
April 20, 2015 - June 1, 2017
TD AMERITRADE, 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
Series 7TO
Date: 12/8/2022
General Securities Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
