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SS

Simon D. Spenser

VOLEON SECURITIES
BERKELEY, CA 94704
Some features on this profile are disabled
CRD#: 2513928
SS

Professional summary

Simon David Spenser, who also goes by Simon David Spenser, Simon D Spenser, is a registered financial professional currently at VOLEON SECURITIES located in Berkeley, California.

Simon is registered as a RR (Registered Representative) and started their career in finance in 1996. Simon has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Simon David Spenser | Simon D Spenser

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simon David Spenser's 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

February 4, 2025 - Present

VOLEON SECURITIES

Office #1: 1919 Shattuck Avenue, Floor 7, Berkeley, CA 94704
BD
CRD#: 332480
BERKELEY, CA
Past

May 16, 2017 - August 13, 2024

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
New York, NY
Past

July 4, 2011 - December 2, 2016

TWO SIGMA SECURITIES, LLC

BD
CRD#: 148960
NEW YORK, NY
Past

October 18, 2005 - February 4, 2011

D.E. SHAW SECURITIES, L.L.C.

BD
CRD#: 24332
NEW YORK, NY
Past

May 15, 1998 - September 28, 2005

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

May 7, 1998 - September 27, 2005

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

June 10, 1996 - May 19, 1998

D.E. SHAW SECURITIES, L.L.C.

BD
CRD#: 24332
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(5/6/2025)
RR
New York
(5/27/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/4/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/21/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/26/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/7/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VOLEON SECURITIES
VOLEON SECURITIES | VOLEON SECURITIES LLC

CRD#: 332480 / SEC#: , 8-71278

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
1919 Shattuck Avenue, Floor 7, Berkeley, CA 94704
Mailing Address
1919 Shattuck Avenue, Floor 7, Berkeley, CA 94704
Phone number
+1 (213) 443-1135
Established
Delaware since 07/29/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VOLEON SECURITIES HOLDINGS 2 LLCMEMBER; DIRECT OWNER
VOLEON SECURITIES HOLDINGS LLCMEMBER; DIRECT OWNER
KALK, YULIACHIEF COMPLIANCE OFFICER2612028
MEYERS, CHRISTOPHER M JRFINOP, PFO, POO6122487
SPENSER, SIMON DAVIDHEAD OF BUSINESS DEVELOPMENT, DESIGNATED PRINCIPAL2513928

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.

Company Information

VOLEON SECURITIES

CRD#: 332480Berkeley, CA 94704

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