Mark G. 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.
Mark Grant Simpson, who also goes by Mark G Simpson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1990. Mark had worked at 4 firms and has passed the Series 65, Series 63, Series 3 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
September 2, 2015 - December 31, 2016
HIGHMARK ASSET MANAGEMENT LLC
January 12, 2007 - April 13, 2015
DENALI CAPITAL MANAGEMENT LLC
October 15, 2003 - October 24, 2005
SIGNATOR FINANCIAL SERVICES, INC.
June 4, 2003 - October 24, 2005
SIGNATOR FINANCIAL SERVICES, INC.
October 12, 1990 - July 5, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HIGHMARK ASSET MANAGEMENT LLC
CRD#: 269851 / SEC#:
Contact information
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.
