Michael J. Simmons
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.
Michael Jay Simmons was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 28, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 1996 - April 16, 2018
HANCOCK WHITNEY INVESTMENT SERVICES INC.
February 28, 1996 - September 24, 1996
AEGON USA SECURITIES INC.
July 14, 1995 - February 6, 1996
CAPITAL BROKERAGE CORPORATION
June 3, 1992 - July 19, 1993
CAPITAL BROKERAGE CORPORATION
April 22, 1991 - March 5, 1992
CAPITAL BROKERAGE CORPORATION
August 5, 1987 - March 5, 1991
PREMIER SECURITIES CORPORATION
June 25, 1987 - July 18, 1987
FIDELITY BROKERAGE SERVICES LLC
March 3, 1987 - May 12, 1987
FSC SECURITIES CORPORATION
January 9, 1986 - March 5, 1991
PREMIER SECURITIES CORPORATION
May 23, 1985 - June 27, 1985
DOMIK CORP.
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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 28
Date: 5/6/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 6/3/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
