Robert L. Monaghan
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.
Robert Leo Monaghan, who also goes by Bob Monaghan, Robert Monaghan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 1, Series 2 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2016 - June 22, 2018
CAPITAL ANALYSTS
March 14, 2016 - June 22, 2018
LINCOLN INVESTMENT
March 11, 2016 - June 22, 2018
LINCOLN INVESTMENT
December 28, 2015 - March 14, 2016
SIGNATOR INVESTORS, INC.
December 28, 2015 - March 14, 2016
SIGNATOR INVESTORS, INC.
January 4, 2011 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
January 3, 2011 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
February 19, 2010 - December 31, 2010
PLANMEMBER SECURITIES CORPORATION
February 17, 2010 - December 31, 2010
PLANMEMBER SECURITIES CORPORATION
June 24, 2004 - February 18, 2010
VALIC FINANCIAL ADVISORS, INC.
November 6, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 6, 2001 - February 18, 2010
VALIC FINANCIAL ADVISORS, INC.
October 1, 1996 - November 10, 1998
OSAIC FA, INC.
June 26, 1992 - October 10, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 27, 1991 - October 1, 1996
UNUM SALES CORPORATION
February 12, 1991 - May 28, 1992
THE GREAT-WEST LIFE ASSURANCE COMPANY
January 27, 1989 - February 13, 1991
EMPOWER FINANCIAL SERVICES, INC.
December 1, 1988 - February 27, 1989
UR FINANCIAL, INC.
July 27, 1978 - August 20, 1982
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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: 7/21/1978
Registered Representative ExaminationSeries 2
Date: 12/11/1974
Non-Member General Securities ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
