Monica Sharma

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 11/2022
  Td Ameritrade
  Omaha, NE
• 11/2022 → Present
  Stifel, Nicolaus & Company, Incorporated
  Denver, CO

Previous Registrations

• 2022-01-31 → 2022-10-07
  Charles Schwab & Co., Inc.
  Denver, CO
• 2014-04-28 → 2022-10-07
  Td Ameritrade, Inc.
  Omaha, NE
  Omaha, NE
  Denver, CO
• 2014-04-28 → 2022-10-07
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Denver, CO
  Omaha, NE

Exams

• S66 Uniform Combined State Law Examination
  2014-04-24
• S63 Uniform Securities Agent State Law Examination
  2013-06-10

Designations

• Certified Financial Planner