Dail S. 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.
Dail St Claire Simmons, who also goes by Dail St Claire Bacon, was a registered financial professional .
Dail is a previously registered financial professional and started their career in finance in 1988. Dail had worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2015 - August 11, 2016
CABOT LODGE SECURITIES LLC
August 28, 2003 - October 24, 2013
ALPS DISTRIBUTORS, INC.
March 7, 1988 - June 20, 1990
DB ALEX. BROWN 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
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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