Sinet M. 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.
Sinet Maurice Simon JR, who also goes by Chuck Simon Jr, Chuck Simon, was a registered financial professional .
Sinet is a previously registered financial professional and started their career in finance in 1984. Sinet had worked at 9 firms and has passed the Series 63, Series 22 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
December 11, 2009 - August 29, 2014
SIGNATOR FINANCIAL SERVICES, INC.
September 4, 2009 - December 21, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 2, 2002 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 4, 1998 - December 31, 2001
CENTAURUS FINANCIAL, INC.
May 11, 1995 - February 25, 1998
INTERPACIFIC INVESTORS SERVICES, INC.
April 14, 1994 - May 6, 1994
WALNUT STREET SECURITIES, INC.
August 24, 1992 - November 16, 1993
FOX & COMPANY INVESTMENTS INC.
May 2, 1984 - August 14, 1984
UNION HOME LOANS
January 5, 1984 - February 6, 1991
PRUCO SECURITIES, LLC.
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
SIGNATOR FINANCIAL SERVICES, INC.
CRD#: 19061 / SEC#: 801-66750, 8-37112
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ABERIZK, EMIL JOSEPH JR | DIRECTOR | 1049525 |
| ARMSTRONG, ABIGAIL MARIE | SECRETARY/CLERK & COUNSEL | 1239945 |
| CLARK, JEFFREY STEPHEN | VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL | 4974902 |
| HEAPPS, BRIAN BASIL | DIRECTOR | 1666475 |
| HORACK, THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER | 861315 |
| K VD HAGEN, HALINA | DIRECTOR | 6582303 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | DIRECTOR | 4364402 |
| SUMINSKI, JOHN WILLIAM | DIRECTOR | 6009337 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
