Lowell 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.
Lowell Arlis Simmons was a registered financial advisor .
Lowell is a previously registered financial advisor and started their career in finance in 1997. Lowell had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2007 - December 31, 2009
FINANCE 500, INC.
February 10, 2005 - January 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2005 - January 8, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1999 - November 15, 2004
FINANCE 500, INC.
November 5, 1997 - March 30, 1999
INCOME NETWORK COMPANY
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
Series 11
Date: 12/26/1996
Assistant Representative-Order Processing Qualification ExamCurrent Firm
FINANCE 500, INC.
CRD#: 12981 / SEC#: , 8-28302
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
| Bond | 1 |
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.
