Scott M. Simon
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.
Scott Martin Simon was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2011 - January 4, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 11, 2007 - October 28, 2009
OMNI BROKERAGE, INC.
June 23, 2006 - October 15, 2007
INVESTORS CAPITAL CORP.
October 17, 2005 - June 12, 2006
ANTHEM SECURITIES, INC.
May 6, 2005 - October 12, 2005
CROWN CAPITAL SECURITIES, L.P.
January 24, 2005 - May 9, 2005
BTIG, LLC
August 14, 2002 - November 11, 2004
UBS CAPITAL MARKETS L.P.
February 15, 2000 - August 13, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
December 22, 1998 - February 29, 2000
MORGAN STANLEY DW INC.
March 2, 1998 - October 27, 1998
INVESTEC 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 55
Date: 3/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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