Simon R. Ecclefield

Some features on this profile are disabled

CRD#: 1268448

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.

Simon Robert Ecclefield was a registered financial professional .

Simon is a previously registered financial professional and started their career in finance in 1984. Simon had worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 10, 2022 - January 29, 2024

VCP APEX (US)

CRD#: 169090

Grand Cayman,

Past

December 17, 2018 - September 28, 2020

MERGER & ACQUISITION CAPITAL SERVICES, LLC

CRD#: 135113

NEW YORK, NY

Past

January 25, 2016 - January 3, 2017

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

March 1, 2010 - July 30, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 9, 2008 - March 2, 2010

CAZENOVE INCORPORATED

CRD#: 1424

NEW YORK, NY

Past

August 10, 2007 - August 5, 2008

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

September 3, 1999 - August 10, 2007

COLLINS STEWART INC.

CRD#: 47414

NEW YORK, NY

Past

June 14, 1999 - July 16, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 10, 1998 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

June 20, 1996 - May 18, 1998

ROBERT FLEMING INC.

CRD#: 1711

NEW YORK, NY

Past

January 1, 1996 - June 5, 1996

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 26, 1989 - January 1, 1996

BARCLAYS DE ZOETE WEDD INCORPORATED

CRD#: 16080

NEW YORK, NY

Past

January 4, 1988 - January 16, 1989

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

Past

June 27, 1986 - January 4, 1988

MORGAN GRENFELL INCORPORATED

CRD#: 13173

Past

May 22, 1984 - May 20, 1985

MORGAN GRENFELL INCORPORATED

CRD#: 13173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/31/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 1/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/28/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/1994

General Securities Principal Examination

Current Firm

VCP APEX (US)

VCP ADVISORS LLC | VCP APEX (US) | VCP AMERICAS LLC

CRD#: 169090 / SEC#: , 8-69347

Terminated by SEC on 03/29/2024

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

New York since 08/09/2013

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
VCP ADVISORS LIMITED	OWNER
DONOVAN, BRIAN CHRISTOPHER	CCO	1406738
TALBOT-PONSONBY, CHARLES HENRY	PRINCIPAL, CEO	6247673

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Simon R. Ecclefield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERGER & ACQUISITION CAPITAL SERVICES, LLC

TULLETT PREBON FINANCIAL SERVICES LLC

J.P. MORGAN SECURITIES LLC

CAZENOVE INCORPORATED

CANACCORD GENUITY SECURITIES LLC

COLLINS STEWART INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ROBERT FLEMING INC.

BARCLAYS CAPITAL INC.

BARCLAYS DE ZOETE WEDD INCORPORATED

DEUTSCHE BANK SECURITIES INC.

MORGAN GRENFELL INCORPORATED

MORGAN GRENFELL INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/1984

Series 57TO

Date: 1/2/2023

SIE

Date: 1/3/2017

Series 55

Date: 9/28/2010

Series 7

Date: 5/19/1984

Series 24

Date: 9/14/1994

Current Firm

VCP APEX (US)

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

VCP APEX (US)

TRUST BUT VERIFY

Similar Advisors