Mark J. Simon
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.
Mark J Simon, who also goes by Mark J Simon, Mark Jonathan Simon, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - February 25, 2020
TORREYA CAPITAL, LLC
February 11, 2011 - December 31, 2017
FINANCIAL WEST GROUP
July 29, 2002 - November 11, 2005
CITIGROUP GLOBAL MARKETS INC.
September 1, 1998 - May 21, 2002
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
January 3, 1995 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
State Registrations and Notice Filings
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Exams
Current Firm
TORREYA CAPITAL, LLC
CRD#: 288632 / SEC#: , 8-69954
Contact information
Documents
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.
