Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monica? Claim Your ProfileMonica Sharma is a financial professional with over 9 years of experience in the industry. Monica is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 7, Series 63, and Series 66 licenses. Monica is currently registered with Stifel, Nicolaus & Company, Inc. in Colorado and Texas and previously worked at CHARLES SCHWAB & CO., INC. and TD AMERITRADE, INC. Monica specializes in portfolio management for individuals and businesses, financial planning, and pension consulting.
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.
1
2
CO
11/08/2022 - Present
Stifel, Nicolaus & Company, Inc. (DENVER CO)
CO
01/31/2022 - 10/07/2022
CHARLES SCHWAB & CO., INC. (Denver CO)
CO
06/04/2013 - 10/07/2022
TD AMERITRADE, INC. (DENVER CO)
BOTH
Issued 04/24/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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