Simon A. Garner
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 Andrew Garner was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1997. Simon had worked at 5 firms and has passed the SIE, Series 72, Series 34, Series 3 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2023 - June 2, 2026
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 5, 2019 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
September 19, 2016 - March 5, 2019
ICAP SECURITIES USA LLC
December 24, 1997 - August 31, 1998
BGC FINANCIAL, L.P.
April 8, 1997 - December 9, 1997
EXCO RMJ INTERNATIONAL INC.
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 72
Date: 9/6/2016
Government Securities Representative ExaminationCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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