Colin D. Simes
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.
Colin Doran Simes was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1983. Colin had worked at 9 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2011 - September 15, 2016
CROWN CAPITAL SECURITIES, L.P.
May 19, 2006 - January 27, 2011
REGENCY SECURITIES, INC.
October 28, 2005 - May 19, 2006
OSAIC SERVICES, INC.
November 16, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
December 22, 1993 - December 11, 1998
JOHN HANCOCK DISTRIBUTORS LLC
November 16, 1993 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
September 27, 1991 - November 18, 1993
SECURIAN FINANCIAL SERVICES, INC.
February 19, 1987 - November 28, 1989
TITAN/VALUE EQUITIES GROUP, INC.
October 3, 1984 - November 28, 1989
TITAN/VALUE EQUITIES GROUP, INC.
February 17, 1984 - September 24, 1984
SENTRA SECURITIES CORPORATION
November 18, 1983 - March 16, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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
Series 62
Date: 10/27/2005
Corporate Securities Limited Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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