Monica A. Rubits
Professional summary
Monica Anne Rubits, who also goes by Monica Anne Price, Monica Rubits, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Monica is registered as a RR (Registered Representative) and started their career in finance in 2015. Monica has 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) - BD
Click below to view Monica Anne Rubits's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735October 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
(10/27/2025)
(3/25/2025)
(3/25/2025)
Exams
Series 7TO
Date: 12/8/2022
General Securities Representative ExaminationFINRA
Current 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
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