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Mason E. Monahan

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CRD#: 7142096
MM

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.

Mason Estes Monahan was a registered financial professional .

Mason is a previously registered financial professional and started their career in finance in 2019. Mason had worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 31, 2021 - December 20, 2021

HOULIHAN CAPITAL, LLC

BD
CRD#: 156028
CHICAGO, IL
Past

July 2, 2019 - May 12, 2020

BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC

BD
CRD#: 29540
CLEVELAND, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/6/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/2/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2019
Securities Industry Essentials Examination

Current Firm

HC
HOULIHAN CAPITAL, LLC
HOULIHAN CAPITAL, LLC

CRD#: 156028 / SEC#: , 8-68762

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 W. Madison Street, Suite 2150, Chicago, IL 60606
Mailing Address
200 W. Madison Street, Suite 2150, Chicago, IL 60606
Phone number
(312) 450-8600
Established
Nevada since 08/06/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HOULIHAN CAPITAL HOLDINGSOWNER
CHAFFEE, SAMUEL J.CCO7501931
SMITH, ANDREW DAVIDPRESIDENT2433015

Disclosures

Regulatory Event2

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.

Company Information

HOULIHAN CAPITAL, LLC

CRD#: 156028

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