Craig Simmons

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CRD#: 1727359

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.

Craig Simmons, who also goes by Craig Simmons Sr, was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1987. Craig had worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 79, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Craig Simmons Sr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 30, 2022 - July 25, 2024

TORINO CAPITAL LLC

CRD#: 157525

NEW YORK, NY

Past

September 19, 2018 - January 23, 2019

REDTAIL CAPITAL MARKETS, LLC

CRD#: 169781

WEST BLOOMFIELD, MI

Past

April 6, 2012 - August 7, 2018

DREXEL HAMILTON, LLC

CRD#: 143570

NEW YORK, NY

Past

February 28, 2006 - June 18, 2008

DAV/WETHERLY FINANCIAL, L.P.

CRD#: 119951

NEW YORK, NY

Past

September 1, 1999 - February 18, 2005

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

NEW YORK, NY

Past

December 3, 1997 - October 4, 1999

ASHLAND GLOBAL SECURITIES, LLC

CRD#: 26552

NEW YORK, NY

Past

September 19, 1996 - October 7, 1997

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

April 6, 1990 - September 13, 1996

KANKAKU SECURITIES (AMERICA) INC.

CRD#: 7384

NEW YORK, NY

Past

March 20, 1990 - March 28, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 16, 1987 - March 28, 1990

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/20/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 5/23/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 3/15/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 4/5/2012

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/19/1990

National Commodity Futures Examination

Current Firm

TORINO CAPITAL LLC

TORINO CAPITAL LLC | TORINO CAPITAL, LLC

CRD#: 157525 / SEC#: , 8-68855

Terminated by SEC on 09/30/2024

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 03/29/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
TORINO CAPITAL GROUP LLC	HOLDING COMPANY/MANAGING MEMBER
BORSATO, FABIANO	COO / CCO / CFO / FINOP	5759900
SIERRA, VICTOR GUILLERMO	CHIEF EXECUTIVE OFFICER/CHAIRMAN	2764352

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Craig Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REDTAIL CAPITAL MARKETS, LLC

DREXEL HAMILTON, LLC

DAV/WETHERLY FINANCIAL, L.P.

THE WILLIAMS CAPITAL GROUP, L.P.

ASHLAND GLOBAL SECURITIES, LLC

CANTOR FITZGERALD & CO.

KANKAKU SECURITIES (AMERICA) INC.

LEHMAN BROTHERS INC.

LEHMAN GOVERNMENT SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2021

Series 79TO

Date: 5/23/2022

SIE

Date: 10/1/2018

Series 79

Date: 3/15/2015

Series 7

Date: 4/5/2012

Series 3

Date: 7/19/1990

Current Firm

TORINO CAPITAL LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TORINO CAPITAL LLC

TRUST BUT VERIFY

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