Martin R. Simonds
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Martin Raymond Simonds was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1982. Martin had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2002 - May 23, 2003
INVESTMENT ADVISORS & CONSULTANTS, INC.
September 16, 1996 - January 16, 2001
METROPOLITAN LIFE INSURANCE COMPANY
September 16, 1996 - January 16, 2001
MSI FINANCIAL SERVICES, INC.
July 21, 1993 - October 30, 1995
SUNAMERICA SECURITIES, INC.
December 17, 1982 - June 23, 1993
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTMENT ADVISORS & CONSULTANTS, INC.
CRD#: 7996 / SEC#: , 8-23962
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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