Michael Simon

CETERA INVESTMENT ADVISERS LLC

TAMPA, FL 33602

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CRD#: 2369509

Professional summary

Michael Simon, who also goes by Michael Scott Simon, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA INVESTMENT SERVICES LLC located in Tampa, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Scott Simon

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.

1. GTE INVESTMENT GROUP, INVESTMENT PROGRAM MANAGER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Simon'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

May 19, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 711 E Henderson Ave, Tampa, FL 33602

RIA

CRD#: 105644

TAMPA, FL

Current

April 29, 2021 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 711 E Henderson Avenue, Tampa, FL 33602

CRD#: 15340

Tampa, FL

Past

July 9, 2020 - April 8, 2021

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

BRANDON, FL

Past

June 12, 2020 - April 8, 2021

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

BRANDON, FL

Past

March 15, 2019 - June 5, 2020

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

WELLINGTON, FL

Past

March 14, 2019 - June 5, 2020

HSBC SECURITIES (USA) INC.

CRD#: 19585

WELLINGTON, FL

Past

September 19, 2017 - February 4, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FT. LAUDERDALE, FL

Past

September 18, 2017 - February 4, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

FT. LAUDERDALE, FL

Past

April 26, 2010 - December 8, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

CORAL SPRINGS, FL

Past

March 4, 2008 - December 8, 2016

LPL FINANCIAL LLC

CRD#: 6413

CORAL SPRINGS, FL

Past

February 23, 2007 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

DAVIE, FL

Past

August 29, 2006 - February 26, 2007

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

MIAMI SPRINGS, FL

Past

May 14, 2004 - January 13, 2006

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

August 8, 2003 - April 30, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 3, 2003 - July 7, 2003

AMFIN INVESTMENT SERVICES, INC.

CRD#: 13945

CLEVELAND, OH

Past

March 27, 2000 - January 13, 2003

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

May 1, 1998 - August 21, 1998

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

October 12, 1994 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

July 20, 1993 - August 19, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(4/29/2021)

IAR

Florida
(5/19/2021)

Georgia
(1/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/30/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/20/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/19/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/29/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Michael Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Simon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

CUNA BROKERAGE SERVICES, INC.

IFMG SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

AMFIN INVESTMENT SERVICES, INC.

ESSEX NATIONAL SECURITIES, LLC

WAMU INVESTMENTS, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2009

Series 63

Date: 7/26/1993

SIE

Date: 10/1/2018

Series 31

Date: 8/20/1993

Series 7

Date: 7/19/1993

Series 24

Date: 6/29/2007

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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