Mark G. Monroe
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.
Mark Gerard Monroe was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1981. Mark had worked at 4 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 1999 - April 10, 2002
UBS ASSET MANAGEMENT (US) INC.
July 22, 1986 - March 26, 1998
UBS ASSET MANAGEMENT (US) INC.
March 25, 1983 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
March 10, 1982 - July 28, 1986
UBS FINANCIAL SERVICES INC.
September 20, 1981 - March 11, 1982
MOSELEY SECURITIES CORPORATION
August 4, 1981 - October 20, 1981
JOHN MUIR & CO.
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 8
Date: 7/21/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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