Michael J. 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.
Michael Joseph Simpson, who also goes by Michael J Simpson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2013 - March 25, 2014
EDELMAN FINANCIAL ENGINES
December 16, 2010 - August 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2010 - August 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2009 - September 28, 2010
SCOTTRADE, INC.
July 20, 2007 - April 15, 2009
FSC SECURITIES CORPORATION
September 6, 2005 - April 15, 2009
FSC SECURITIES CORPORATION
November 26, 2004 - July 28, 2005
VANGUARD MARKETING CORPORATION
April 3, 1993 - September 2, 2004
CHARLES SCHWAB & CO., INC.
July 24, 1989 - March 18, 1993
FIDELITY BROKERAGE SERVICES LLC
July 26, 1988 - August 18, 1988
MARION BASS SECURITIES CORPORATION
May 25, 1988 - June 23, 1988
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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 8
Date: 10/10/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
