Maurice M. Monopoli
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.
Maurice Michael Monopoli was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1977. Maurice had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2015 - November 1, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 16, 2015 - November 1, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 6, 2007 - January 15, 2015
CADARET, GRANT & CO., INC.
August 17, 2005 - January 15, 2015
CADARET, GRANT & CO., INC.
March 8, 1994 - August 19, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 13, 1993 - March 10, 1994
UBS FINANCIAL SERVICES INC.
January 30, 1992 - April 29, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 25, 1991 - February 3, 1992
EQUITY SERVICES, INC.
April 24, 1990 - July 1, 1991
COMMONWEALTH FINANCIAL NETWORK
October 26, 1988 - May 9, 1990
INVESTACORP, INC.
April 26, 1986 - November 8, 1988
WALNUT STREET SECURITIES, INC.
September 15, 1984 - May 24, 1985
VERAVEST INVESTMENTS, INC.
March 9, 1982 - August 25, 1986
SIGNATOR INVESTORS, INC.
December 8, 1977 - December 25, 1981
JOHN HANCOCK DISTRIBUTORS LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 1
Date: 11/26/1977
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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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