MS
Monica E. Shortell
BAILLIE GIFFORD FUNDS SERVICES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 6157510
MS
Professional summary
Monica Elaine Shortell, who also goes by Monica Elaine Marois, Monica E Marois, is a registered financial professional currently at BAILLIE GIFFORD FUNDS SERVICES LLC located in New York, New York.
Monica is registered as a RR (Registered Representative) and started their career in finance in 2013. Monica has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Monica Elaine Marois | Monica E Marois
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.
CRS (Client Relationship Summary) - BD
Click below to view Monica Elaine Shortell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 8, 2021 - Present
BAILLIE GIFFORD FUNDS SERVICES LLC
Office #1: 780 Third Avenue 43th Floor, New York, NY 10017BD
CRD#: 171147
New York, NY
Past
October 17, 2017 - February 1, 2021
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
BOSTON, MA
Past
March 27, 2013 - August 4, 2017
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/8/2021)
RR
Alaska(3/8/2021)
RR
Arizona(3/8/2021)
RR
Arkansas(3/8/2021)
RR
California(3/8/2021)
RR
Colorado(3/8/2021)
RR
Connecticut(3/8/2021)
RR
Delaware(3/8/2021)
RR
District of Columbia(3/8/2021)
RR
Florida(3/8/2021)
RR
Georgia(3/8/2021)
RR
Hawaii(3/8/2021)
RR
Idaho(3/8/2021)
RR
Illinois(3/8/2021)
RR
Indiana(3/8/2021)
RR
Iowa(3/8/2021)
RR
Kansas(3/8/2021)
RR
Kentucky(3/8/2021)
RR
Louisiana(3/8/2021)
RR
Maine(3/8/2021)
RR
Maryland(3/8/2021)
RR
Massachusetts(3/8/2021)
RR
Michigan(3/8/2021)
RR
Minnesota(3/8/2021)
RR
Mississippi(3/8/2021)
RR
Missouri(3/8/2021)
RR
Montana(3/8/2021)
RR
Nebraska(3/8/2021)
RR
Nevada(3/8/2021)
RR
New Hampshire(3/8/2021)
RR
New Jersey(3/8/2021)
RR
New Mexico(3/8/2021)
RR
New York(3/8/2021)
RR
North Carolina(3/8/2021)
RR
North Dakota(3/8/2021)
RR
Ohio(3/8/2021)
RR
Oklahoma(3/8/2021)
RR
Oregon(3/8/2021)
RR
Pennsylvania(3/8/2021)
RR
Puerto Rico(3/8/2021)
RR
Rhode Island(3/8/2021)
RR
South Carolina(3/8/2021)
RR
South Dakota(3/8/2021)
RR
Tennessee(3/8/2021)
RR
Texas(3/8/2021)
RR
Utah(3/8/2021)
RR
Vermont(3/8/2021)
RR
Virgin Islands(3/8/2021)
RR
Virginia(3/8/2021)
RR
Washington(3/8/2021)
RR
West Virginia(3/8/2021)
RR
Wisconsin(3/8/2021)
RR
Wyoming(3/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BG
BAILLIE GIFFORD FUNDS SERVICES LLC
BAILLIE GIFFORD FUNDS SERVICES LLC
CRD#: 171147 / SEC#: , 8-69448
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Calton Square 1 Greenside Row, Edinburgh, EH1 3AN
Mailing Address
Calton Square 1 Greenside Row, Edinburgh, EH1 3AN
Phone number
0044 131 275 2000
Established
Delaware since 02/14/2014
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAILLIE GIFFORD OVERSEAS LTD | PARENT COMPANY | 110296 |
| ARCHIBALD, LESLEY-ANNE MARGARET | NON EXECUTIVE DIRECTOR | 6704278 |
| ARCHIBALD, LESLEY-ANNE MARGARET | CHAIRPERSON | 6704278 |
| HAMILTON, KATHRIN | NON-EXECUTIVE DIRECTOR | 4797514 |
| MAZUR, CLARE CAMBRIA | NON-EXECUTIVE DIRECTOR | 5170345 |
| PARISE, JANICE DRU | CFO | 2338583 |
| PORTEOUS, GARRY | DIRECTOR | 6912188 |
| PORTEOUS, GARRY | CCO | 6912188 |
| ROSS, KRISTEN MICHELLE | NON-EXECUTIVE DIRECTOR | 5953098 |
| WOOD, NICK BERNARD | DIRECTOR | 6709554 |
| WOOD, NICK BERNARD | CEO | 6709554 |
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.
