Simon S. Lin
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.
Simon Siao Roun Lin was a registered financial advisor .
Simon is a previously registered financial advisor and started their career in finance in 1987. Simon had worked at 5 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
March 13, 2012 - September 28, 2012
INTEGRAL FINANCIAL LLC
March 14, 2008 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
July 31, 2000 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
September 9, 1994 - July 31, 2000
ACUMENT SECURITIES, INC.
August 18, 1987 - November 10, 1994
INTERFIRST CAPITAL CORPORATION
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
INTEGRAL FINANCIAL LLC
CRD#: 120343 / SEC#: , 8-65284
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
