Bryan H. Simms
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.
Bryan Hughes Simms was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1994. Bryan had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2019 - December 13, 2021
AVALON SECURITIES, LTD.
September 28, 2016 - November 20, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2016 - November 20, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2013 - March 28, 2014
DRIVEWEALTH INSTITUTIONAL LLC
July 1, 2010 - November 30, 2012
LAZARD ASSET MANAGEMENT SECURITIES LLC
September 8, 2004 - September 19, 2007
LEHMAN BROTHERS INC.
May 1, 2001 - September 14, 2004
J.P. MORGAN SECURITIES INC.
April 18, 2000 - May 1, 2001
JPMSI
July 31, 1998 - March 20, 2000
UTENDAHL CAPITAL PARTNERS, L.P.
August 23, 1994 - July 27, 1998
MORGAN STANLEY & CO. LLC
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
Current Firm
AVALON SECURITIES, LTD.
CRD#: 30522 / SEC#: , 8-44993
Contact information
Documents
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.
