Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monica? Claim Your ProfileMonica Schmidt is an investment advisor representative with UBS Financial Services Inc. Monica has been in the financial industry since 2006 and has a wide range of experience in securities and investment advising. Monica has held positions at several firms, including J.P. Morgan Securities LLC, AssetMark Brokerage, LLC, and Capital Brokerage Corporation. Monica is a registered investment advisor in California and is also licensed to sell securities in Maryland and Tennessee.
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.
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.
See schedule d - miscellaneous
1
2
CA
09/30/2021 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
03/06/2020 - 09/22/2021
J.P. MORGAN SECURITIES LLC (Westlake Village CA)
CA
08/15/2014 - 05/14/2018
ASSETMARK BROKERAGE, LLC (Encino CA)
VA
12/04/2013 - 08/15/2014
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
IL
04/01/2008 - 11/25/2013
CAPITAL BROKERAGE CORPORATION (CHICAGO IL)
IL
03/04/2008 - 04/01/2008
ASSETMARK CAPITAL CORPORATION (CHICAGO IL)
IL
02/17/2006 - 02/04/2008
U.S. BANCORP INVESTMENTS, INC. (ROCKFORD IL)
IA
Issued 12/15/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2013
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 05/14/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Monica Schmidt is the right advisor for you? Invested Better is here to help.
