Mikell V. Simmons
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.
Mikell Vaughan Simmons was a registered financial advisor .
Mikell is a previously registered financial advisor and started their career in finance in 1996. Mikell had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2014 - June 8, 2015
LEVELX CAPITAL LLC
April 20, 2011 - May 29, 2014
CP CAPITAL SECURITIES
March 14, 2011 - May 29, 2014
CP CAPITAL SECURITIES
December 5, 2007 - April 23, 2009
BROKERSXPRESS LLC
October 15, 2004 - April 23, 2009
BROKERSXPRESS LLC
October 19, 1999 - October 15, 2004
WALLSTREET*E FINANCIAL SERVICES, INC.
July 28, 1998 - December 3, 1998
ROBERT THOMAS SECURITIES, INC
October 20, 1997 - April 29, 1998
NATIONAL CLEARING CORP.
February 9, 1996 - January 21, 1997
BILTMORE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LEVELX CAPITAL LLC
CRD#: 117028 / SEC#: , 8-53580
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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