Sima L. Griffith
Professional summary
Sima Lynn Griffith, who also goes by Sima Nahum, is a registered financial professional currently at AETHLON CAPITAL, L.L.C located in Minneapolis, Minnesota.
Sima is registered as a RR (Registered Representative) and started their career in finance in 1993. Sima has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sima Lynn Griffith's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 1997 - Present
AETHLON CAPITAL, L.L.C
Office #1: 1786 James Avenue South, Minneapolis, MN 55403November 24, 1993 - April 16, 1997
DELPHI FINANCIAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/27/2002)
(4/17/1997)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
AETHLON CAPITAL, L.L.C
CRD#: 42241 / SEC#: , 8-49765
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRIFFITH, SIMA LYNN | PRINCIPAL, CCO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND OWNER | 2407819 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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