Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Monique? Claim Your ProfileMonique Thacker is a financial professional with over 27 years of experience in the industry. Monique currently works as a registered representative at HSBC Securities (USA) Inc. and holds a number of licenses and certifications including Series 7, 10, 9, 24, 53, 55, 63, 99, and SIE. Monique has held positions at a number of well-known firms including UBS Financial Services Inc., AXA Advisors, LLC, AMVESCAP Services, Inc. and Ladenburg, Thalmann & Co., Inc. Monique is able to provide a variety of services to clients, including asset allocation recommendations, selection of other advisors, and portfolio management for businesses and pooled investment vehicles.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
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.
1
2
NY
02/05/2013 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NJ
10/05/2006 - 01/28/2013
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
06/04/2004 - 10/06/2006
AXA ADVISORS, LLC (EDISON NJ)
GA
02/28/2003 - 05/18/2004
AMVESCAP SERVICES, INC. (ATLANTA GA)
NY
03/04/2002 - 07/16/2002
PUGLISI & CO. (NEW YORK NY)
NY
10/22/1997 - 03/04/2002
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
02/27/1997 - 09/16/1997
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
02/27/1997 - 09/16/1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NJ
05/15/1996 - 01/14/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
06/20/1994 - 01/20/1996
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
BC
Issued 01/12/1995
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 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/29/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/20/2002
Series 24 - General Securities Principal Examination
BC
Issued 03/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/17/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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