Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monica? Claim Your ProfileMonica Smith is a financial advisor with over 40 years of experience in the industry. Monica is registered with Ameriprise Financial Services, LLC and has been with the firm since May 2020. Previously, Monica worked for Morgan Stanley & Co. Incorporated and Morgan Stanley. Monica is licensed to provide financial advice in Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Indiana, Kansas, Michigan, New Mexico, North Carolina, Ohio, Oklahoma, Tennessee, Texas, Utah, and Virginia. Monica offers a variety of financial services, including asset allocation, financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals.
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.
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.
Asset allocation services
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.
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2
TX
05/08/2020 - Present
Ameriprise Financial Services, LLC (PLANO TX)
TX
06/01/2009 - 05/12/2020
MORGAN STANLEY (DALLAS TX)
TX
01/09/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)
TX
01/01/1991 - 01/27/2009
UBS FINANCIAL SERVICES INC. (DALLAS TX)
NA
06/16/1988 - 01/01/1991
ROTAN MOSLE INC.
NA
01/06/1986 - 01/01/1991
ROTAN MOSLE INC.
NA
05/02/1988 - 07/16/1988
DEAN WITTER REYNOLDS INC.
NA
03/02/1987 - 05/06/1988
PAINEWEBBER INCORPORATED
NA
10/20/1983 - 01/16/1986
DEAN WITTER REYNOLDS INC.
NA
09/24/1981 - 11/02/1983
PAINE, WEBBER, JACKSON & CURTIS INC.
BC
Issued 11/30/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/1988
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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