Herbert G. 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.
Herbert George Simon JR, who also goes by Bert Simon, Herbert George (jr) Simon, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1983. Herbert had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2011 - June 9, 2017
USAA FINANCIAL PLANNING SERVICES
April 11, 2011 - June 9, 2017
USAA FINANCIAL ADVISORS, INC.
January 18, 2007 - August 3, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
September 1, 1999 - January 11, 2007
MORGAN STANLEY DW INC.
November 19, 1997 - June 9, 1999
INVESCO CAPITAL MARKETS, INC.
June 22, 1983 - November 15, 1983
ORION SECURITIES, INC.
June 22, 1983 - January 23, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
USAA FINANCIAL PLANNING SERVICES
CRD#: 106352 / SEC#: 801-53347
Contact information
Red Flags
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