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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monica? Claim Your ProfileMonica Trinidad-lui is a financial advisor with over 20 years of experience in the financial services industry. Monica currently works for Morgan Stanley and is registered to provide investment advice in New Jersey and Texas. Monica has worked for several large firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Northwestern Mutual Investment Services, LLC, Citigroup Global Markets Inc., Wachovia Securities, LLC and Prudential Securities Incorporated. Monica has a wide range of experience in various financial services including investment management, portfolio management, and financial planning. Monica holds a number of industry licenses and certifications, including Series 3, 7, 9, 10, 31, 66, 99TO and SIE. Monica is committed to providing clients with personalized financial advice and guidance to help them 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.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
10/20/2021 - Present
Morgan Stanley (Morristown NJ)
NJ
12/14/2017 - 09/24/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
NJ
08/06/2013 - 12/04/2017
MORGAN STANLEY (MORRISTOWN NJ)
NY
06/01/2009 - 05/31/2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)
NY
05/20/2004 - 01/23/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MO
07/01/2003 - 05/17/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
10/10/2002 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/19/2001 - 06/20/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 11/07/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/17/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/20/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2008
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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