Janice L. Moncier
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.
Janice Lee Moncier, who also goes by Jan Moncier, was a registered financial advisor .
Janice is a previously registered financial advisor and started their career in finance in 1979. Janice had worked at 7 firms and has passed the Series 65, Series 63, Series 6, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2000 - November 30, 2012
MISSIONSQUARE RETIREMENT
January 6, 2000 - January 6, 2011
MISSIONSQUARE INVESTMENT SERVICES
August 13, 1986 - January 31, 1990
MOMENTUM INDEPENDENT NETWORK INC.
June 10, 1986 - September 10, 1986
ROYCE INVESTMENT GROUP, INC.
February 14, 1985 - February 25, 1986
CHRISTOPHER WEIL & COMPANY, INC
March 24, 1982 - October 15, 1984
E. F. HUTTON & COMPANY INC
April 11, 1979 - December 23, 1981
PLM SECURITIES CORP.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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: 1/30/1979
Registered Representative ExaminationSeries 40
Date: 3/13/1979
Registered Principal ExaminationCurrent Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
