Mark S. 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.
Mark Sam Simon, who also goes by Mark Simon, Mayer Sam Simon, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 1990 - April 26, 1990
WELLSHIRE SECURITIES, INC.
November 22, 1989 - February 1, 1990
KOCHCAPITAL
June 9, 1989 - November 24, 1989
WELLSHIRE SECURITIES, INC.
March 22, 1989 - June 20, 1989
VANDERBILT SECURITIES, INC.
October 21, 1987 - February 7, 1989
INVESTORS CENTER, INC.
September 21, 1987 - October 5, 1987
INVESTORS CENTER, INC.
March 23, 1987 - November 24, 1987
F.D. ROBERTS SECURITIES, INC.
August 21, 1986 - March 25, 1987
MARGATE SECURITIES, INC.
March 19, 1986 - September 4, 1986
INVESTORS CENTER, INC.
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
Current Firm
WELLSHIRE SECURITIES, INC.
CRD#: 17939 / SEC#: , 8-35938
Contact information
Documents
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.
