David L. Monday
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.
David Lee Monday was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2020 - June 11, 2026
COMMONWEALTH RETIREMENT INVESTMENTS LLC
January 27, 2017 - December 31, 2019
COMMONWEALTH RETIREMENT INVESTMENTS LLC
February 8, 2012 - January 24, 2017
OSAIC FA, INC.
January 3, 2012 - January 24, 2017
OSAIC FA, INC.
October 18, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 19, 2004 - August 16, 2011
FIRST CLEARING, LLC
March 25, 2004 - June 17, 2005
WEXFORD CLEARING SERVICES, LLC
October 1, 1999 - August 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 17, 1991 - August 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 19, 1981 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
COMMONWEALTH RETIREMENT INVESTMENTS LLC
CRD#: 285998 / SEC#: 801-108783
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: 2/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COMMONWEALTH RETIREMENT INVESTMENTS LLC
CRD#: 285998 / SEC#: 801-108783
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,001 |
| AUM (Assets Under Management) | $ 377,033,190 |
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.
