Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mona? Claim Your ProfileMona Vince is a financial advisor with over 8 years of experience in the financial industry. Mona currently holds a registration with Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed to provide investment advisory services in California. Mona has previously worked at Deutsche Bank Securities Inc. and BANC of America Investment Services, Inc. Mona is also a registered representative with FINRA. Mona has passed the Series 66, Series 63 and Series 7 exams. Mona provides financial services to individuals, corporations, high net worth individuals, pension and profit sharing plans, charitable organizations, insurance companies, state or municipal government entities, and corporations or other businesses. Mona has over 10 years of experience working with clients in Los Angeles. Mona is committed to helping her clients achieve their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/21/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
01/13/2014 - 07/15/2016
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
CA
10/23/2009 - 07/28/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
02/25/2009 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
IA
Issued 11/20/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/28/2014
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 05/26/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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