Rosario L. Simpson

MUTUAL SECURITIES

Valencia, CA 91355

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CRD#: 2259895

Professional summary

Rosario Leon Simpson MRS, who also goes by Rosario Leon Fonseca, Rosario Leon Simpson, Rosario Leon VIllasenor, is a registered financial professional currently at MUTUAL SECURITIES, INC. located in Valencia, California.

Rosario is registered as a RR (Registered Representative) and started their career in finance in 1994. Rosario has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rosario Leon Fonseca | Rosario Leon Simpson | Rosario Leon Villasenor

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rosario Leon Simpson MRS's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 22, 2020 - Present

MUTUAL SECURITIES, INC.

Office #1: 27451 Tourney Rd. Ste. 160, Valencia, CA 91355

CRD#: 13092

Valencia, CA

Past

November 29, 2017 - December 23, 2020

LPL FINANCIAL LLC

CRD#: 6413

VALENCIA, CA

Past

January 31, 2011 - November 29, 2017

CRD#: 599

IRVINE, CA

Past

June 8, 1995 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

February 24, 1994 - December 22, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(12/22/2020)

Nevada
(7/19/2022)

Texas
(7/19/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/6/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/23/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MUTUAL SECURITIES, INC.

COWLES, SABOL & COMPANY, INCORPORATED | MUTUAL SECURITIES, INC. OF CALIFORNIA | MUTUAL SECURITIES, INC. | MUTUAL SECURITIES INC., OF CALIFORNIA | MUTUAL SECURITIES INC. OF CALIFORNIA

CRD#: 13092 / SEC#: 801-68443, 8-28580

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

807-a Camarillo Springs Road, Camarillo, CA 93012

Mailing Address

P.o. Box 2864, Camarillo, CA 93011

Phone number

(805) 764-6730

Established

California since 02/04/1982

Firm type

Corporation

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MUTUAL GROUP, INC.	CORPORATION
CLAUSSEN, DAWN MARIE	CHIEF OPERATING OFFICER	5445747
DAMIANI, NICHOLAS ARTHUR	CHIEF ADMINISTRATIVE OFFICER	5669491
JASPER, AARON T	CHIEF EXECUTIVE OFFICER	5016734
SABOL, RYAN STEPHEN	MANAGING PRINCIPAL	4419285
SHANNON, DEBRA DAWN	CHIEF COMPLIANCE OFFICER	5021297
VOSS, MITCHELL CRAIG	CHAIRMAN	1029100

Disclosures

Regulatory Event	2
Arbitration	8

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.

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Advisor Monitoring

Firm Stability Insights

Rosario L. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rosario Leon Simpson MRS's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

MSI FINANCIAL SERVICES, INC.

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

WAMU INVESTMENTS, INC.

GRIFFIN FINANCIAL SERVICES

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2001

Series 63

Date: 5/27/1994

SIE

Date: 10/1/2018

Series 7

Date: 2/23/1994

Series 24

Date: 2/23/2001

FINRA

Current Firm

MUTUAL SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MUTUAL SECURITIES, INC.

TRUST BUT VERIFY

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