Michael C. Simons

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

PHILADELPHIA, PA 19103-7098

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CRD#: 2754804

Professional summary

Michael Craig Simons, who also goes by Mike Simons, is a registered financial advisor currently at MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST located in Philadelphia, Pennsylvania and DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Simons

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) - RIA

Click below to view Michael Craig Simons's CRS (Customer Relationship Summary).

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

April 20, 2020 - Present

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

Office #1: 2005 Market Street, Philadelphia, PA 19103-7098

RIA

CRD#: 105390

PHILADELPHIA, PA

Current

April 7, 2014 - Present

DELAWARE DISTRIBUTORS, L.P.

Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106

CRD#: 14232

Philadelphia, PA

Past

December 11, 2014 - April 20, 2020

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

RIA

CRD#: 152237

PHILADELPHIA, PA

Past

July 5, 2006 - April 22, 2013

MILLER TABAK + CO., LLC

CRD#: 47293

NEW YORK, NY

Past

November 11, 2003 - January 22, 2004

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

October 15, 2002 - September 15, 2003

VIE INSTITUTIONAL SERVICES, INC.

CRD#: 47437

PHILADELPHIA, PA

Past

October 15, 2002 - October 7, 2003

VIE SECURITIES, LLC

CRD#: 47786

NEW YORK, NY

Past

January 22, 1998 - February 20, 2002

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

November 18, 1996 - January 21, 1998

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

CRD#: 105390 / SEC#: 801-32108

RIA

Registered Investment Advisory firm - (5/31/1988 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Pennsylvania
(4/7/2014)

IAR

Pennsylvania
(4/20/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/12/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/15/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/25/2000

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

CRD#: 105390 / SEC#: 801-32108

RIA

Registered Investment Advisory firm - (5/31/1988 Approved)

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Contact information

Main Address

610 Market Street, Philadelphia, PA 19106

Mailing Address

Phone number

(215) 255-2300

Established

Firm type

Fiscal year end

# of Employees

598

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST FORM ADV-PART 2A BROCHURE (6/27/2025)

Regulatory assets under management

Total Number of Accounts	317
AUM (Assets Under Management)	$ 164,320,917,908

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.

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Michael C. Simons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Craig Simons's CRS (Customer Relationship Summary).

Certified licenses

Experience

DELAWARE DISTRIBUTORS, L.P.

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

MILLER TABAK + CO., LLC

LABRANCHE FINANCIAL SERVICES, LLC

VIE INSTITUTIONAL SERVICES, INC.

VIE SECURITIES, LLC

VANGUARD MARKETING CORPORATION

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2014

Series 63

Date: 2/20/2007

SIE

Date: 10/1/2018

Series 55

Date: 7/12/2006

Series 7

Date: 9/15/1997

Series 6

Date: 11/15/1996

Series 24

Date: 10/3/2000

Series 4

Date: 8/25/2000

FINRA

Current Firm

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

TRUST BUT VERIFY

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