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Simon Robert Ecclefield

CRD# 1268448·Registered 1984 - 2024
Previously Registered: Being a previously registered professional could mean that Simon 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.

Professional Summary

Simon Robert Ecclefield was a registered financial advisor. Simon was a previously registered financial professional and started their career in finance 1984 - 2024. Simon had worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

VCP APEX (US)·CRD# 169090
BD
Grand Cayman
January 10, 2022 - January 29, 2024
MERGER & ACQUISITION CAPITAL SERVICES, LLC·CRD# 135113
BD
New York, NY
December 17, 2018 - September 28, 2020
TULLETT PREBON FINANCIAL SERVICES LLC·CRD# 28196
BD
New York, NY
January 25, 2016 - January 3, 2017
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
March 1, 2010 - July 30, 2014
CAZENOVE INCORPORATED·CRD# 1424
BD
New York, NY
September 9, 2008 - March 2, 2010
CANACCORD GENUITY SECURITIES LLC·CRD# 24790
BD
New York, NY
August 10, 2007 - August 5, 2008
COLLINS STEWART INC.·CRD# 47414
BD
New York, NY
September 3, 1999 - August 10, 2007
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
June 14, 1999 - July 16, 1999
DB ALEX. BROWN LLC·CRD# 17790
BD
Baltimore, MD
June 10, 1998 - June 14, 1999
ROBERT FLEMING INC.·CRD# 1711
BD
New York, NY
June 20, 1996 - May 18, 1998
BARCLAYS CAPITAL INC.·CRD# 19714
BD
New York, NY
January 1, 1996 - June 5, 1996
BARCLAYS DE ZOETE WEDD INCORPORATED·CRD# 16080
BD
New York, NY
May 26, 1989 - January 1, 1996
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
January 4, 1988 - January 16, 1989
MORGAN GRENFELL INCORPORATED·CRD# 13173
BD
June 27, 1986 - January 4, 1988
MORGAN GRENFELL INCORPORATED·CRD# 13173
BD
May 22, 1984 - May 20, 1985

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Current Firm

VA
VCP APEX (US)

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

CRD#: 169090 / SEC#: 8-69347
BD
Terminated by SEC on 03/29/2024

Contact Information

Established

New York since 08/09/2013

Firm Type

Limited Liability Company

Fiscal Year End

June

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
VCP ADVISORS LIMITEDOWNER—
DONOVAN, BRIAN CHRISTOPHERCCO1406738
TALBOT-PONSONBY, CHARLES HENRYPRINCIPAL, CEO6247673

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1984About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Jan 2017About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2010

Series 7 — General Securities Representative Examination

Passed May 1984About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1994About the Series 24 exam

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CRS (Client Relationship Summary)

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

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