Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmen? Claim Your ProfileCarmen Richard Monks is a financial advisor registered with Citigroup Global Markets Inc. Carmen has been in the industry since May 8, 1998. Carmen has a combined 33 state securities licenses, and 16 SRO registrations including a registration with FINRA. Carmen specializes in providing financial planning, pension consulting, portfolio management for businesses, and portfolio management for individuals. Carmen is licensed in 33 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MA
05/29/2007 - Present
Citigroup Global Markets Inc. (BOSTON MA)
MA
04/02/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (BOSTON MA)
CA
09/06/2001 - 10/29/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
ME
09/12/2000 - 07/03/2001
PFPC DISTRIBUTORS, INC. (PORTLAND ME)
PA
11/20/1998 - 11/03/1999
CMS INVESTMENT RESOURCES, INC. (WYNNEWOOD PA)
MA
07/13/1995 - 12/23/1996
G. W. & WADE ASSET MANAGEMENT COMPANY, INC. (WELLESLEY MA)
NA
08/25/1987 - 03/07/1988
A. F. BEST SECURITIES, INC.
IA
Issued 09/20/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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