Jeffrey A. 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.
Jeffrey Alan Simon, who also goes by Jeffrey A Simon, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 6 firms and has passed the Series 65, 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
November 29, 2010 - May 28, 2025
SIMON CAPITAL ADVISORS LLC
April 5, 1999 - October 16, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
February 17, 1999 - October 2, 2008
J.P. MORGAN SECURITIES LLC
November 11, 1993 - January 27, 1999
NYLIFE SECURITIES LLC
October 3, 1991 - December 24, 1992
NSR DISTRIBUTORS, INC.
April 18, 1989 - July 8, 1991
NEUBERGER BERMAN BD 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
Current Firm
SIMON CAPITAL ADVISORS LLC
CRD#: 155147 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 14,351,759 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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