Monique Schulman has been Chief Compliance Officer of Markle Financial since May 2021, is not listed as a control person, but directly owns under 5% of the firm.
Markle Financial LLC is a Laramie, WY firm with $141M under management, 265 clients and 5 advisers across 3 offices, as of its June 2026 filing.
Monique Schulman is Chief Compliance Officer of Markle Financial, based in Laramie, WY. She has more than 30 years of experience across sales, advisory, trading, operations and compliance roles. At Smith Barney and its predecessor firms she advanced from Control Administrator to Regional Compliance Officer and then Divisional Compliance Director.
No adviser firm registrations are on Monique Schulman’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 12 July 2022 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 12 July 2022 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 12 July 2022 |
| Series 7TO | General Securities Representative Examination | 12 July 2022 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 12 July 2022 |
| Series 99TO | Operations Professional Examination | 12 July 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 30 March 1998 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 19 November 1996 |
| Series 7 | General Securities Representative Examination | 17 November 1984 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 January 1984 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 January 1984 |
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- CRD
- 1225088
- Firm
- Markle Financial · CRD 302088
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- marklefinancial.com
Where does Monique Schulman work?
Monique Schulman has been Chief Compliance Officer of Markle Financial LLC since May 2021.
Does Monique Schulman have a current investment-adviser registration?
Monique Schulman has no current investment-adviser or broker registration.
What exams has Monique Schulman passed?
Monique Schulman has passed 11 licensing exams: the Series 63, Series 6, Series 7, Series 8, Series 3, Series 24, Series 10, Series 9, Series 7TO, Series 6TO and Series 99TO. The earliest, the Series 63, was passed in January 1984. FINRA credited Monique Schulman with the SIE, which began in October 2018.
Is Monique Schulman registered with FINRA?
No. Monique Schulman has no current broker registration.
How can I verify Monique Schulman’s record?
Search CRD 1225088 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Monique Schulman’s full registration record.
