Steven J. Simone
Professional summary
Steven John Simone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Steven had worked at 9 firms, which includes SW FINANCIAL, WESTROCK ADVISORS INC., WOODSTOCK FINANCIAL GROUP INC., GIT SECURITIES CORPORATION, CLARK STREET CAPITAL INC., ROYAL HUTTON SECURITIES CORP., TOLUCA PACIFIC SECURITIES CORP., HANOVER STERLING & COMPANY LTD., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2008 - August 15, 2011
SW FINANCIAL
May 21, 2004 - November 10, 2008
WESTROCK ADVISORS, INC.
March 5, 2002 - June 10, 2004
WOODSTOCK FINANCIAL GROUP, INC.
September 7, 2001 - March 8, 2002
GIT SECURITIES CORPORATION
May 7, 2001 - June 7, 2001
CLARK STREET CAPITAL, INC.
October 3, 1996 - May 4, 2001
ROYAL HUTTON SECURITIES CORP.
June 20, 1995 - October 15, 1996
TOLUCA PACIFIC SECURITIES CORP.
August 1, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
November 11, 1993 - August 4, 1994
GKN SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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