VS
Veronica V. Simonton
CANTOR FITZGERALD & CO.
Memphis, TN 38119
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CRD#: 1794708
VS
Professional summary
Veronica Vaughn Simonton, who also goes by Laney Simonton, Veronica Elaine Vaughn, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Memphis, Tennessee.
Veronica is registered as a RR (Registered Representative) and started their career in finance in 1988. Veronica has worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 52, Series 3, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Laney Simonton | Veronica Elaine Vaughn
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.
CRS (Client Relationship Summary) - BD
Click below to view Veronica Vaughn Simonton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 3, 2008 - Present
CANTOR FITZGERALD & CO.
Office #1: 6410 Poplar Avenue Suite 700, Memphis, TN 38119BD
CRD#: 134
Memphis, TN
Past
February 27, 2006 - August 8, 2008
COUNTRYWIDE SECURITIES CORPORATION
BD
CRD#: 10598
MEMPHIS, TN
Past
May 6, 2003 - February 28, 2006
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
October 21, 2002 - May 6, 2003
FTN EQUITY CAPITAL MARKETS CORP.
BD
CRD#: 119625
CLEVELAND, OH
Past
July 3, 2001 - October 21, 2002
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
April 20, 1988 - July 17, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2011)
RR
Alaska(1/4/2011)
RR
Arizona(1/4/2011)
RR
Arkansas(1/4/2011)
RR
California(1/4/2011)
RR
Colorado(1/4/2011)
RR
Connecticut(1/4/2011)
RR
Delaware(1/4/2011)
RR
District of Columbia(1/4/2011)
RR
Florida(1/4/2011)
RR
Georgia(1/4/2011)
RR
Hawaii(1/4/2011)
RR
Idaho(1/4/2011)
RR
Illinois(1/4/2011)
RR
Indiana(1/4/2011)
RR
Iowa(1/4/2011)
RR
Kansas(1/4/2011)
RR
Kentucky(1/4/2011)
RR
Louisiana(1/4/2011)
RR
Maine(1/4/2011)
RR
Maryland(1/4/2011)
RR
Massachusetts(1/4/2011)
RR
Michigan(1/4/2011)
RR
Minnesota(1/4/2011)
RR
Mississippi(1/4/2011)
RR
Missouri(1/4/2011)
RR
Montana(1/4/2011)
RR
Nebraska(1/4/2011)
RR
Nevada(1/4/2011)
RR
New Hampshire(1/4/2011)
RR
New Jersey(1/4/2011)
RR
New Mexico(1/4/2011)
RR
New York(1/4/2011)
RR
North Carolina(1/5/2011)
RR
North Dakota(1/4/2011)
RR
Ohio(1/5/2011)
RR
Oklahoma(1/4/2011)
RR
Oregon(1/4/2011)
RR
Pennsylvania(1/4/2011)
RR
Puerto Rico(1/4/2011)
RR
Rhode Island(1/4/2011)
RR
South Carolina(1/4/2011)
RR
South Dakota(1/4/2011)
RR
Tennessee(9/3/2008)
RR
Texas(1/4/2011)
RR
Utah(1/4/2011)
RR
Vermont(1/4/2011)
RR
Virginia(1/4/2011)
RR
Washington(1/4/2011)
RR
West Virginia(1/4/2011)
RR
Wisconsin(1/4/2011)
RR
Wyoming(1/4/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
Company Information
CANTOR FITZGERALD & CO.
CRD#: 134Memphis, TN 38119TRUST BUT VERIFY
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