RS
Richard V. Simkus
APOLLON WEALTH MANAGEMENT
NEWTON, PA 18940
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CRD#: 1269936
RS
Professional summary
Richard Victor Simkus is a registered financial advisor currently at APOLLON WEALTH MANAGEMENT, LLC located in Newton, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Richard has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1)Prism Advisory Group LLC--investment related:yes--address: 4 Caufield Place, Ste 102, Newtown, PA 18940--nature of business: investment advisory--position: managing member--start date:12/2009--hours/month:172--hours/month during trading hours:172--Duties: provide investment advice, financial planning, compliance officer 2)Prism Jade Fund LP--investment related: yes--address: 4 Caufield Place, ste 102, Newtown PA 18940--nature of business: hedge fund--Position:investment manager--start date:07/2008--hours/month:30--hours/month during trading hours:30--Duties:research, review, choose underlying managers, communicate with limited partners 3)PKS Financial--investment related: no--address: 80 State St, Albany NY 12207--nature of business: fixed/traditional insurance--position: agent--start date: 1/2021--hours/month:0--hours/month during trading hours:0--duties:support fixed/traditional insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Richard Victor Simkus's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 16, 2021 - Present
APOLLON WEALTH MANAGEMENT, LLC
Office #1: 4 Caufield Place Suite 102, Newton, PA 18940RIA
CRD#: 291902
NEWTON, PA
Past
January 8, 2021 - September 30, 2022
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Newtown, PA
Past
January 2, 2018 - December 31, 2020
FRONTIER SOLUTIONS, LLC
BD
CRD#: 136102
Newtown, PA
Past
July 7, 2010 - March 3, 2021
PRISM FUNDS, LLC
RIA
CRD#: 147911
NEWTOWN, PA
Past
January 13, 2010 - September 21, 2021
PRISM ADVISORY GROUP, LLC
RIA
CRD#: 152555
NEWTOWN, PA
Past
January 4, 2010 - December 31, 2017
MCDONALD PARTNERS LLC
RIA
CRD#: 135414
NEWTOWN, PA
Past
January 4, 2010 - December 31, 2017
MCDONALD PARTNERS LLC
BD
CRD#: 135414
NEWTOWN, PA
Past
July 13, 2005 - December 31, 2009
AMERICAN SECURITIES GROUP, INC.
RIA
CRD#: 43730
LAWRENCEVILLE, NJ
Past
November 12, 2004 - December 31, 2009
AMERICAN SECURITIES GROUP, INC.
BD
CRD#: 43730
LAWRENCEVILLE, NJ
Past
June 15, 2002 - December 8, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
LAWRENCEVILLE, NJ
Past
June 15, 2002 - December 8, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
May 15, 1999 - June 20, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
RIA
CRD#: 41727
LAWRENCEVILLE, NJ
Past
May 15, 1999 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
BD
CRD#: 41727
CHARLOTTE, NC
Past
May 14, 1999 - May 14, 1999
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
July 31, 1993 - May 20, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 23, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 22, 1984 - May 31, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(8/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/29/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AW
APOLLON WEALTH MANAGEMENT, LLC
ADI DASSLER INTERNATIONAL FAMILY OFFICE | WESTSIDE WEALTH MANAGEMENT OF APOLLON | WEALTH EMPOWERMENT FINANCIAL GROUP | TREE CITY ADVISORS OF APOLLON | TELOS WEALTH ADVISORS | SUNSHINE WEALTH ADVISORS, LLC | PROPER WEALTH MANAGEMENT | PRISM ADVISORY GROUP | PODESTA CAPITAL APOLLON | PIERSHALE FINANCIAL GROUP OF APOLLON | PELLEY GROUP OF APOLLON | LIVETRAC | JE WILSON OF APOLLON | JASON YOUNG AND ASSOCIATES | CJL | CJ LAWRENCE, A DIVISION OF APOLLON WEALTH MANAGEMENT | CIC WEALTH | CATALYST APOLLON | CASCADE APOLLON | BLUECHIP WEALTH MANAGEMENT | APOLLON WEALTH MANAGEMENT, LLC | APOLLON NEW ENGLAND | APOLLON BRIDGEMARK
CRD#: 291902 / SEC#: 801-112350
RIA
Registered Investment Advisory firm - (1/22/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464
Mailing Address
Phone number
(843) 579-0018
Established
Firm type
Fiscal year end
# of Employees
179
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,798 |
| AUM (Assets Under Management) | $ 7,720,756,861 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
