Monica Faithfull
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 Faithfull was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2020. Monica had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2022 - November 19, 2025
CW ADVISORS, LLC
January 12, 2021 - April 25, 2022
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
August 15, 2020 - April 25, 2022
FIRST REPUBLIC SECURITIES COMPANY, LLC
Primary Firm SEC Registration
CW ADVISORS, LLC
CRD#: 310873 / SEC#: 801-119667
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: 8/15/2020
General Securities Representative ExaminationCurrent Firm
CW ADVISORS, LLC
CRD#: 310873 / SEC#: 801-119667
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,836 |
| AUM (Assets Under Management) | $ 9,301,984,860 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2025 | ||
| 07/02/2024 | ||
| 09/20/2023 |
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.
