Simon A. Lapierre
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.
Simon Andre Lapierre was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1996. Simon had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2015 - March 3, 2017
CLSA AMERICAS, LLC
December 18, 1996 - July 16, 1998
NBF SECURITIES (USA) 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
Series 37
Date: 12/11/1996
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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