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Detailed Report
MARK FRANCIS MONAGHAN
MARK F MONAGHAN
CRD#: 1957638
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1605 MAIN ST
12TH & 14TH FLS
SARASOTA, FL 34236
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2017 - Present (8 years)BLPL FINANCIAL LLC (CRD# 6413)2012 - 2017 (4 years)BMETLIFE SECURITIES INC. (CRD# 14251)2008 - 2012 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2007 (1 year)BFIRST SECURITY INVESTMENTS, INC. (CRD# 24035)2001 - 2005 (3 years)BHORIZON CAPITAL, INC. (CRD# 41362)2001 - 2001 (<1 year)BGARBAN LLC (CRD# 19739)2000 - 2000 (<1 year)BINTERCAPITAL INTERNATIONAL INC. (CRD# 22109)1999 - 2000 (<1 year)BLIBERTY PATRIOT SECURITIES INC. (CRD# 28196)1996 - 1998 (2 years)IAINDEPENDENT FINANCIAL PARTNERS (CRD# 125112)2014 - 2017 (2 years)
License(s)

State Registrations

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Arkansas 2/28/2025
B
Georgia 4/24/2017
B
Florida 4/24/2017
B
Massachusetts 2/28/2025
IA
Florida 4/25/2017
B
Utah 2/28/2025

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
LONGBOAT KEY, FL
Registered with this firm since 4/25/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1605 MAIN ST 12TH & 14TH FLS, SARASOTA, FL 34236
LONGBOAT KEY, FL
Registered with this firm since 4/24/2017
Previous Registration(s)
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 09/20/2012 - 04/13/2017 LPL FINANCIAL LLC (CRD#:6413) TAMPA, FL
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 10/01/2014 - 02/27/2017 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) TAMPA, FL
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 12/09/2008 - 05/21/2012 METLIFE SECURITIES INC. (CRD#:14251) SARASOTA, FL
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 03/06/2006 - 12/04/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SARASOTA, FL
B
 09/07/2001 - 03/22/2005 FIRST SECURITY INVESTMENTS, INC. (CRD#:24035) KINGSTON, PA
B
 02/08/2001 - 12/04/2001 HORIZON CAPITAL, INC. (CRD#:41362) SARASOTA, FL
B
 03/15/2000 - 07/06/2000 GARBAN LLC (CRD#:19739) NEW YORK, NY
B
 12/03/1999 - 06/26/2000 INTERCAPITAL INTERNATIONAL INC. (CRD#:22109) NEW YORK, NY
B
 06/03/1996 - 09/16/1998 LIBERTY PATRIOT SECURITIES INC. (CRD#:28196) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.