Mark A. 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.
Mark Anthony Simmons was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 7 firms and has passed the Series 66, Series 63 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
January 16, 2014 - December 1, 2020
PERSONAL CAPITAL ADVISORS CORPORATION
August 6, 2009 - December 6, 2013
NYLIFE SECURITIES LLC
November 15, 2007 - September 18, 2008
SECURITIES AMERICA, INC.
March 15, 2002 - January 23, 2004
RBC CAPITAL MARKETS, LLC
November 8, 2001 - January 23, 2004
RBC CAPITAL MARKETS, LLC
March 9, 2000 - November 6, 2001
JAMES WHEELER & CO. INVESTMENTS, INC.
April 3, 1997 - September 19, 1997
KIRLIN SECURITIES INC.
March 5, 1996 - May 16, 1997
FIRST INTERREGIONAL EQUITY 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
Exams
Current Firm
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
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.
