Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monica? Claim Your ProfileMonica Guttmann is a financial advisor with over 30 years of experience in the industry. Monica currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. and holds Series 3, 7, and 63 licenses. Previously, Monica worked at UBS FINANCIAL SERVICES INC. and LEHMAN BROTHERS INC. Monica is registered to provide investment advice in 37 states, including Florida, Illinois, and Texas. Monica’s areas of specialization include fixed income, equity, mutual funds, and variable annuities.
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
IL
10/26/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OAK BROOK IL)
IL
10/22/1990 - 02/25/2011
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
NY
11/25/1987 - 11/13/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/1987
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1987
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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