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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 Payne is a financial advisor who has been in the industry since December 2006. Monica is currently registered with UBS Financial Services Inc. and has previously worked at Morgan Stanley, Southwest Securities, Inc., Wells Fargo Advisors, LLC, and National Financial Services LLC. Monica holds a variety of licenses and registrations, including Series 3, 7, 10, 24, 31, 63, and 65. She is also a FINRA Arbitrator. Monica is registered to provide investment advice in Texas.
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
NJ
10/29/2021 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
TX
11/23/2012 - 11/16/2021
MORGAN STANLEY (Southlake TX)
TX
03/01/2012 - 11/14/2012
SOUTHWEST SECURITIES, INC. (DALLAS TX)
TX
04/24/2007 - 02/17/2012
WELLS FARGO ADVISORS, LLC (ADDISON TX)
TX
11/23/2006 - 04/23/2007
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
IA
Issued 07/27/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/28/2009
Series 24 - General Securities Principal Examination
BC
Issued 02/12/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2013
Series 3 - National Commodity Futures Examination
BC
Issued 06/11/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 11/22/2006
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
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