Morton J. Simon

FORTUNE FINANCIAL SERVICES

Portland, OR

Some features on this profile are disabled

CRD#: 1008469

Professional summary

Morton Jay Simon is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Portland, Oregon.

Morton is registered as a RR (Registered Representative) and started their career in finance in 1981. Morton has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Morton Jay Simon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 15, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Portland, OR

Past

January 5, 2005 - November 16, 2015

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

May 21, 2003 - December 31, 2004

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

May 18, 2001 - February 13, 2002

USI SECURITIES, INC.

CRD#: 43793

GLASTONBURY, CT

Past

December 8, 1995 - May 17, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 8, 1995 - May 17, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 30, 1993 - December 14, 1995

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

December 18, 1981 - December 12, 1995

G. R. PHELPS & CO., INC.

CRD#: 173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/29/2020)

Oregon
(1/27/2016)

Washington
(2/8/2016)

Exams

State Security Law Exam

Series 63

Date: 6/22/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2000

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/13/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3582 Brodhead Road Suite 202, Monaca, PA 15061

Mailing Address

P.o. Box 238, Monaca, PA 15061

Phone number

(724) 846-2488

Established

Pennsylvania since 10/21/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DANIELS, BLAKE WILLIAM	CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO	1285106
DANIELS, BRIAN LEE	OWNER	1213561
BENTLEY, GREGORY JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	705379
PINTARIC, WILLIAM RICHARD JR	CHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEE	CHIEF OPERATIONS OFFICER, FINOP, PFO, POO	4794021

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Morton J. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Morton Jay Simon's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

THE LEADERS GROUP, INC.

USI SECURITIES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

JOHN HANCOCK DISTRIBUTORS LLC

G. R. PHELPS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/22/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2000

Series 22

Date: 1/13/1984

Series 6

Date: 12/3/1981

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FORTUNE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors