Monica Reid
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 Reid, who also goes by Monica Burke, Monica Schoettle, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2013. Monica had worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2018 - October 22, 2020
BEQUIA SECURITIES, LLC
May 13, 2015 - December 31, 2016
BROKERBANK SECURITIES, INC.
June 17, 2013 - July 24, 2013
MISSION CAPITAL LLC
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 79TO
Date: 3/30/2024
Investment Banking Registered Representative ExaminationCurrent Firm
BEQUIA SECURITIES, LLC
CRD#: 285783 / SEC#: , 8-69860
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEQUIA CAPITAL, LLC | MEMBER | |
| DORFMAN, ESTEE CARLA | FINOP, CFO | 2696529 |
| SLACHTA, LARA ANN | CEO, CCO, EXEC REP. |
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.
