John R. Simpson
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.
John Roger Simpson, who also goes by J Roger Simpson, Roger Simpson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 56, Series 55 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
November 9, 2021 - December 22, 2022
EXCEL WEALTH MANAGEMENT, LLC
June 17, 2019 - December 31, 2019
MML INVESTORS SERVICES, LLC
June 11, 2019 - December 31, 2019
MML INVESTORS SERVICES, LLC
November 9, 2017 - February 25, 2019
PRUCO SECURITIES, LLC.
December 4, 2014 - June 3, 2015
T3 TRADING GROUP, LLC
June 16, 2008 - December 14, 2009
BTIG, LLC
April 7, 2004 - January 15, 2008
OPPENHEIMER & CO. INC.
October 9, 2000 - December 1, 2003
CREDIT AGRICOLE SECURITIES (USA) INC.
November 4, 1997 - September 27, 2000
NATIXIS SECURITIES AMERICAS LLC
July 20, 1995 - October 24, 1997
GFI SECURITIES LLC
August 20, 1993 - July 10, 1995
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
October 29, 1991 - October 15, 1992
TUCKER ANTHONY INCORPORATED
December 23, 1986 - February 26, 1991
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EXCEL WEALTH MANAGEMENT, LLC
CRD#: 299602 / SEC#: 801-114524
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 56
Date: 12/4/2014
Proprietary Trader Qualification ExaminationSeries 55
Date: 12/8/1998
Limited Representative-Equity Trader ExamCurrent Firm
EXCEL WEALTH MANAGEMENT, LLC
CRD#: 299602 / SEC#: 801-114524
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 462 |
| AUM (Assets Under Management) | $ 273,041,547 |
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.
