Simon E. Amich
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 Enrique Amich was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1992. Simon had worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 34, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2019 - June 15, 2021
INSIGNEO SECURITIES, LLC
October 28, 2019 - May 14, 2021
PREMIER CAPITAL ADVISORS LLC
October 2, 2018 - August 30, 2019
ARCA CAPITAL INVESTMENTS, INC.
July 31, 2017 - October 3, 2018
INSIGNEO ADVISORY SERVICES, LLC
July 31, 2017 - September 28, 2018
INSIGNEO SECURITIES, LLC
March 25, 2014 - July 31, 2017
NORTHEAST ASSET MANAGEMENT LLC
January 3, 2013 - July 31, 2017
NORTHEAST SECURITIES, LLC
April 11, 2012 - July 3, 2012
ANDBANC BROKERAGE, LLC
May 17, 2011 - June 20, 2012
NORTHEAST SECURITIES, LLC
September 22, 2009 - September 16, 2010
ATLAS ONE FINANCIAL GROUP, LLC
August 24, 2009 - July 17, 2012
ANDBANC ADVISORY LLC
February 29, 2008 - March 28, 2008
STANCHART SECURITIES INTERNATIONAL, INC.
December 20, 2002 - September 30, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
December 10, 1999 - June 7, 2002
LEHMAN BROTHERS INC.
August 13, 1993 - March 21, 1994
MAN INVESTMENTS INC.
January 18, 1993 - August 11, 1993
AIBC INVESTMENT SERVICES CORPORATION
October 29, 1992 - November 23, 1992
TUCKER ANTHONY 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 7/1/2019
Investment Banking Registered Representative ExaminationCurrent Firm
INSIGNEO SECURITIES, LLC
CRD#: 29249 / SEC#: , 8-44166
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CHIEF REVENUE OFFICER | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | REGULATORY AFFAIRS OFFICER | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
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.
