Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monica? Claim Your ProfileMonica Harris is a financial advisor with Ares Management Capital Markets LLC. Monica has been a financial advisor since 1997. Monica holds Series 4, 7, 8, 9, 10, 14, 24, 63, 65, 99TO and SIE licenses. Monica has worked at several firms throughout their career, including TCG Capital Markets L.L.C., TCG Securities, L.L.C., Carrington Investment Services, LLC, Deutsche Bank Securities Inc., Ryan Beck & Co., Gruntal & Co., L.L.C., W.J. Nolan & Company, Inc. and First Montauk Securities Corp. Monica is currently registered in Maryland and Virginia.
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.
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.
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2
CA
11/20/2020 - Present
Ares Management Capital Markets LLC (LOS ANGELES CA)
NY
08/10/2018 - 09/23/2019
TCG CAPITAL MARKETS L.L.C. (New York NY)
DC
06/29/2011 - 09/23/2019
TCG SECURITIES, L.L.C. (WASHINGTON DC)
CT
06/02/2010 - 08/04/2010
CARRINGTON INVESTMENT SERVICES, LLC (OLD GREENWICH CT)
MD
11/11/2002 - 11/23/2009
DEUTSCHE BANK SECURITIES INC. (BALTIMORE MD)
NJ
04/29/2002 - 11/01/2002
RYAN BECK & CO. (FLORHAM PARK NJ)
NY
02/08/1999 - 05/17/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
01/23/1997 - 01/25/1999
W.J. NOLAN & COMPANY, INC. (NEW YORK NY)
NJ
02/24/1995 - 01/16/1997
FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)
IA
Issued 12/31/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/24/2006
Series 4 - Registered Options Principal Examination
BC
Issued 08/11/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/25/1997
Series 14 - Compliance Officer Examination
BC
Issued 11/14/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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