Monica K. Prinkey
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 K Prinkey was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2017. Monica had worked at 2 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2021 - August 29, 2023
JOHN E. SESTINA AND COMPANY
September 29, 2017 - March 1, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
JOHN E. SESTINA AND COMPANY
CRD#: 108634 / SEC#: 801-44151
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
Current Firm
JOHN E. SESTINA AND COMPANY
CRD#: 108634 / SEC#: 801-44151
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,739 |
| AUM (Assets Under Management) | $ 634,458,011 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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