Simon Giraldo
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.
Simon Giraldo was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1991. Simon had worked at 6 firms and has passed the Series 63, SIE 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
January 21, 2020 - April 28, 2025
VECTORGLOBAL WMG
March 20, 2017 - June 19, 2019
ARCA CAPITAL INVESTMENTS, INC.
December 20, 2006 - March 27, 2017
CP CAPITAL SECURITIES
June 24, 2003 - December 31, 2006
CPC ASSET MANAGEMENT, LLC.
January 14, 2003 - March 27, 2017
CP CAPITAL SECURITIES
June 6, 2001 - November 25, 2002
MORGAN STANLEY DW INC.
June 6, 2001 - November 25, 2002
MORGAN STANLEY DW INC.
May 6, 1997 - June 7, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1991 - January 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
VECTORGLOBAL WMG
CRD#: 32396 / SEC#: , 8-45715
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
