Helen K. 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.
Helen Kathryn Simon, CFP®, who also goes by Helen K. Simon, Helen Simon, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1985. Helen had worked at 6 firms and has passed the Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2013 - October 31, 2025
PERSONAL BUSINESS MANAGEMENT SERVICES, LLC.
September 7, 1993 - February 25, 1998
CHARLES SCHWAB & CO., INC.
June 4, 1991 - August 13, 1993
OSAIC WEALTH, INC.
May 10, 1991 - June 5, 1991
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 26, 1990 - April 16, 1991
COMPULIFE INVESTOR SERVICES, INC.
September 24, 1985 - January 10, 1989
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
Series 8
Date: 5/6/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PERSONAL BUSINESS MANAGEMENT SERVICES, LLC.
CRD#: 112666 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 11,004,000 |
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.
