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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Monica Ann Coles

Advisor at THURSTON SPRINGER ADVISORS

Chittenango, NY | INDIANAPOLIS, IN | LIVERPOOL, NY

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Search this name across graphsid dfx:ria:96c02b09-4ab4-671a-96d7-16267467ef34

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Sep 3, 2010 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: THURSTON SPRINGER ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 9, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 1
Exams: S65|S63
First exam: Dec 9, 2008
First registration: Sep 3, 2010
Dual registered: yes, broker-dealer
Other names: Monica Ann Mosher|Monica Ann Cavallo
IAPD individual key: 5445069

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
IBN FINANCIAL SERVICES, INC	Independent wealth	Jul 13, 2026	n/a	yes	LIVERPOOL, NY	Current employment
THURSTON SPRINGER ADVISORS	Bd affiliated wealth	Feb 19, 2026	n/a	yes	INDIANAPOLIS, IN\|Chittenango, NY	Current employment
PINNACLE INVESTMENTS, LLC	Bd affiliated wealth	Feb 14, 2022	Sep 23, 2025	no	EAST SYRACUSE, NY\|EAST SYRACUSE, NY	Previous registration
CADARET GRANT & CO INC	Former SEC adviser	Feb 1, 2019	Feb 15, 2022	no	SYRACUSE, NY\|Syracuse, NY\|SYRACUSE, NY\|Syracuse, NY\|SYRACUSE, NY\|Syracuse, NY\|SYRACUSE, NY\|SYRACUSE, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 18, 2013	Feb 9, 2017	no	Syracuse, NY	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Sep 3, 2010	Oct 26, 2012	no	SYRACUSE, NY\|ALBANY, NY\|SYRACUSE, NY	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
PINNACLE INVESTMENTS, LLC	THURSTON SPRINGER ADVISORS	Sep 23, 2025	Feb 19, 2026	149	Firm change	Ibd to ibd
CADARET GRANT & CO INC	PINNACLE INVESTMENTS, LLC	Feb 15, 2022	Feb 14, 2022	-1	Firm change	Ibd to RIA
MORGAN STANLEY	CADARET GRANT & CO INC	Feb 9, 2017	Feb 1, 2019	722	Firm change after gap	Wirehouse to RIA
RBC CAPITAL MARKETS, LLC	MORGAN STANLEY	Oct 26, 2012	Jun 18, 2013	235	Firm change	Ibd to wirehouse

Relationships

Registered with (6)

→ IBN FINANCIAL SERVICES, INCRegistered adviserregistration: current employment
Jul 13, 2026 to presentfactForm ADV
→ THURSTON SPRINGER ADVISORSRegistered adviserregistration: current employment
Feb 19, 2026 to presentfactForm ADV
→ PINNACLE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Feb 14, 2022 to Sep 23, 2025factForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Feb 1, 2019 to Feb 15, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 18, 2013 to Feb 9, 2017factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Sep 3, 2010 to Oct 26, 2012factForm ADV

Dated events

Occurred
Sep 23, 2025
Advisor changed firm
Monica Ann Coles left Pinnacle Investments, Llc for Thurston Springer Advisors (registered 2026-02-19)
Form ADVobserved 6 days ago
Occurred
Feb 15, 2022
Advisor changed firm
Monica Ann Coles left Cadaret Grant & Co Inc for Pinnacle Investments, Llc (registered 2022-02-14)
Form ADVobserved 6 days ago