Monica Payne, financial advisor Dallas TX
73 score

Monica Payne

CRD Number: 4579523
Current Firm: Morgan Stanley

Monica Payne (CRD# 4579523) is an Investment Advisor Representative working at Morgan Stanley in Dallas, TX and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Dallas, TX Nov 2012 - Current 4
Southwest Securities, Inc. Dallas, TX Feb 2012 - Nov 2012 < 1
Wells Fargo Advisors LLC Addison, TX May 2009 - Feb 2012 2
Wachovia Securities, LLC Addison, TX Apr 2007 - May 2009 2
Fidelity Investments Irving, TX Jul 1999 - Apr 2007 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2006
S65 NASAA Investment Advisors Law Examination Jul 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Monica L. Payne
Phone Number: 914-225-5510
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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