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Monica A Kaufman

Harmony Asset Management LLC

Scottsdale, AZ

Mckinney, TX

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Current Employers
Harmony Asset Management Llc

16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-11-11
  • TX RA
    APPROVED
    Since 2020-11-11

Branch Locations

16220 N. Scottsdale Road Suite 300, Scottsdale, AZ 85254 • United States

300 E. Davis Street #136, Mckinney, TX 75070 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hillford Consulting, Llc Philadelphia PA 02/2015 12/2016
Altissimi, Llc Mckinney TX 11/2017 02/2018
Edward Jones St. Louis MO 04/2017 11/2017
Morgan Stanley Smith Barney Llc Plano TX 03/2018 07/2019
Unemployed Mckinney TX 12/2016 04/2017
Morgan Stanley Private Bank, N.A. New York NY 03/2018 07/2019
The Ayco Company, L.P./Mercer Allied Dallas TX 08/2019 10/2020
Harmony Asset Management Llc Scottsdale AZ 11/2020 Present
  • 02/2015 → 12/2016
    Hillford Consulting, Llc
    Philadelphia, PA
  • 11/2017 → 02/2018
    Altissimi, Llc
    Mckinney, TX
  • 04/2017 → 11/2017
    Edward Jones
    St. Louis, MO
  • 03/2018 → 07/2019
    Morgan Stanley Smith Barney Llc
    Plano, TX
  • 12/2016 → 04/2017
    Unemployed
    Mckinney, TX
  • 03/2018 → 07/2019
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 08/2019 → 10/2020
    The Ayco Company, L.P./Mercer Allied
    Dallas, TX
  • 11/2020 → Present
    Harmony Asset Management Llc
    Scottsdale, AZ
Previous Registrations
Other Businesses

MORLEY CONSULTING 857 KEDRON AVE MERTON PA TAX ADVISORY SINCE 11/01/2020 INSURANCE LICENSED - LIFE AND HEALTH NOT INVESTMENT RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-26
  • S66 Uniform Combined State Law Examination
    2017-05-26
Designations
Other Names
  • Monica Aileen Paley
  • Monica Aileen Kaufman
  • Monica A Kaufman

View on SEC IAPD

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