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Monica Ann Smith

Ameriprise Financial Services, LLC

Plano, TX

Garland, TX

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-05-08
  • TX RA
    APPROVED
    Since 2020-05-08

Branch Locations

6860 N Dallas Pkwy Ste 500, Plano, TX 75024 • United States

Garland, TX • 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
Morgan Stanley & Co. Incorporated Dallas TX 01/2009 05/2020
Morgan Stanley Dallas TX 06/2009 05/2020
Ameriprise Financial Services, Llc Plano TX 05/2020 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1981-11-30
  • S63 Uniform Securities Agent State Law Examination
    1981-11-30
Other Names
  • Monica Ann Krajca
  • Monica Ann Smith
  • Monica Smith

View on SEC IAPD

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