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Mark Francis Monaghan

Wells Fargo Clearing Services, LLC

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About Mark Francis Monaghan

Mark Monaghan is a financial advisor with over 20 years of experience in the industry. Mark is registered with Wells Fargo Clearing Services, LLC and holds Series 7, 9, 10, 24, 63, 66, 99TO and SIE licenses. Mark has previously been affiliated with LPL Financial LLC, Metlife Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, First Security Investments, Inc., Horizon Capital, Inc., Garban LLC, Intercapital International Inc., and Liberty Patriot Securities Inc. Mark has a strong background in providing investment consulting services to institutional clients and financial planning services to individuals and businesses. Mark is also registered with the states of Florida and Georgia.

Firm Information

Mark Monaghan is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mark Monaghan’s Registration & Firm History

FL

04/25/2017 - Present

Wells Fargo Clearing Services, LLC (SARASOTA FL)

FL

09/20/2012 - 04/13/2017

LPL FINANCIAL LLC (TAMPA FL)

FL

12/09/2008 - 05/21/2012

METLIFE SECURITIES INC. (SARASOTA FL)

FL

03/06/2006 - 12/04/2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SARASOTA FL)

PA

09/07/2001 - 03/22/2005

FIRST SECURITY INVESTMENTS, INC. (KINGSTON PA)

FL

02/08/2001 - 12/04/2001

HORIZON CAPITAL, INC. (SARASOTA FL)

NY

03/15/2000 - 07/06/2000

GARBAN LLC (NEW YORK NY)

NY

12/03/1999 - 06/26/2000

INTERCAPITAL INTERNATIONAL INC. (NEW YORK NY)

NY

06/03/1996 - 09/16/1998

LIBERTY PATRIOT SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/07/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/19/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/23/2006

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/10/2006

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/25/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/22/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mark Francis Monaghan.
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