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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Monica Schmidt Stempel

Advisor at UBS FINANCIAL SERVICES INC.

LOS ANGELES, CA | WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:3044a151-c887-c893-71dc-1fb2dcc6c39f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 18, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 26, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 26, 2006
First registration: Dec 18, 2006
Dual registered: yes, broker-dealer
Other names: MONICA A SCHMIDT|MONICA SCHMIDT USELDING|MONICA SCHMIDT|Monica Audrey Schmidt|Monica A Audrey Stempel
IAPD individual key: 5092467

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 30, 2021	n/a	yes	LOS ANGELES, CA\|WESTLAKE VILLAGE, CA	Current employment
ONE CAPITAL MANAGEMENT, LLC	Independent wealth	May 23, 2018	May 1, 2020	no	WESTLAKE VILLAGE, CA	Previous registration
ASSETMARK, INC.	Bd affiliated wealth	Apr 28, 2008	May 14, 2018	no	CHICAGO, IL\|CONCORD, CA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Dec 18, 2006	Feb 4, 2008	no	Rockford, IL\|Rockford, IL\|Rockford, IL\|ROCKFORD, IL\|ROCKFORD, IL\|Loves Park, IL\|WINNEBAGO, IL\|Des Plaines, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ONE CAPITAL MANAGEMENT, LLC	UBS FINANCIAL SERVICES INC.	May 1, 2020	Sep 30, 2021	517	Firm change after gap	RIA to wirehouse
ASSETMARK, INC.	ONE CAPITAL MANAGEMENT, LLC	May 14, 2018	May 23, 2018	9	Firm change	Ibd to RIA
U.S. BANCORP INVESTMENTS, INC.	ASSETMARK, INC.	Feb 4, 2008	Apr 28, 2008	84	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Sep 30, 2021 to presentfactForm ADV
→ ONE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 23, 2018 to May 1, 2020factForm ADV
→ ASSETMARK, INC.Registered adviserregistration: previous registration
Apr 28, 2008 to May 14, 2018factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 18, 2006 to Feb 4, 2008factForm ADV

Dated events

No dated event names this entity yet.