JS
Joshua K. Simon
THURSTON SPRINGER ADVISORS
Lake Forest, IL
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CRD#: 2923912
JS
Professional summary
Joshua Kulback Simon, who also goes by Joshua K Simon, is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Lake Forest, Illinois and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Lake Forest, Illinois.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Joshua has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua K Simon
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.
J SIMON & CO; INVESTMENT RELATED; LAKE FOREST, IL; 100% OWNERSHIP; START FEBRUARY 2005; NUMBER OF HOURS PER MONTH 240; NUMBER OF HOURS DURING TRADING 6.5; FINANCIAL ADVISOR PRACTICE. JAVA CULTURE, NOT INV RELATED, LAKE FOREST, IL, PRESIDENT, START 11/1/2019, 1 HOUR PER MONTH, ZERO DURING TRADING, FAMILY OWNED BOARD INTEGRATED MARKETING AGENCY.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Kulback Simon's 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®
NoneExperience
Current
October 14, 2021 - Present
THURSTON SPRINGER ADVISORS
RIA
CRD#: 299201
Lake Forest, IL
Current
September 20, 2021 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
BD
CRD#: 8478
Lake Forest, IL
Past
September 20, 2021 - September 20, 2021
THURSTON SPRINGER ADVISORS
RIA
CRD#: 299201
INDIANAPOLIS, IN
Past
February 4, 2005 - September 22, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
EVANSTON, IL
Past
February 4, 2005 - September 22, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
EVANSTON, IL
Past
March 24, 1998 - February 23, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
October 10, 1997 - February 23, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 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.RR
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
RR
Colorado(4/16/2025)
RR
Delaware(7/12/2022)
RR
Florida(4/6/2022)
RR
Illinois(10/14/2021)
IAR
Illinois(10/14/2021)
RR
Indiana(9/24/2025)
RR
Tennessee(9/24/2021)
RR
Texas(4/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
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Contact information
Main Address
9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 581-4000
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
