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Detailed Report
MONICA JANE BREAKER
MONICA JANE LEGAN, MONICA JANE SCHOENHOFER
CRD#: 2790010
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 9595 SIX PINES DR
THE WOODLANDS, TX 77380
Registration History
2008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - Present (16 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 2/19/2009
B
Missouri 3/3/2010
B
Arizona 11/16/2009
B
Nebraska 9/29/2023
B
Arkansas 11/16/2009
B
Nevada 11/16/2009
B
California 2/19/2009
B
New Jersey 11/24/2009
B
Colorado 11/16/2009
B
New Mexico 11/16/2009
B
Connecticut 12/21/2022
B
New York 2/19/2009
B
Delaware 11/10/2022
B
North Carolina 2/24/2009
B
District of Columbia 8/19/2024
B
Ohio 3/2/2023
B
Florida 2/19/2009
B
Oklahoma 2/19/2009
B
Georgia 10/4/2010
B
Oregon 11/24/2009
B
Illinois 5/17/2021
B
Pennsylvania 11/16/2009
B
Indiana 2/3/2017
B
South Carolina 6/25/2020
B
Kansas 2/19/2009
B
South Dakota 2/17/2011
B
Louisiana 2/19/2009
B
Tennessee 6/1/2021
B
Maine 1/10/2011
B
Texas 2/17/2009
B
Maryland 3/3/2010
IA
Texas 2/17/2009
B
Michigan 12/1/2022
B
Virginia 11/16/2009
B
Minnesota 2/19/2009
B
Washington 2/19/2009
B
Mississippi 11/16/2009
B
Wisconsin 2/2/2018

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
9595 SIX PINES DR, THE WOODLANDS, TX 77380
Registered with this firm since 2/17/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
9595 SIX PINES DR, THE WOODLANDS, TX 77380
Registered with this firm since 5/6/2008
Previous Registration(s)
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B
 04/07/2008 - 05/07/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) THE WOODLANDS, TX
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.