William P. Simon
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.
William Patterson Simon JR, who also goes by William Patterson Simon, William Patterson Jr Simon, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2011 - June 18, 2015
BRINKER CAPITAL INC
July 19, 2011 - June 18, 2015
BRINKER CAPITAL SECURITIES, LLC
March 18, 2011 - January 11, 2012
PPB ADVISORS, LLC
February 22, 2011 - July 29, 2011
ALLIED BEACON PARTNERS, INC.
December 7, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
May 26, 1987 - May 5, 2009
CAPITAL CLIENT GROUP, INC.
December 11, 1984 - February 21, 1987
INVESCO CAPITAL MARKETS, INC.
October 14, 1982 - December 13, 1984
FEDERATED SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRINKER CAPITAL INC
CRD#: 111743 / SEC#: 801-30504
Contact information
Documents
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.
