George 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.
George Michael Simon, who also goes by G Michael Simon, George Simon, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2004. George had worked at 3 firms and has passed the Series 66, Series 65 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
January 30, 2007 - December 31, 2012
SIMON CAPITAL MANAGEMENT INC
March 2, 2005 - August 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 22, 2005 - August 2, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 16, 2004 - February 22, 2005
1ST GLOBAL CAPITAL 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
Current Firm
SIMON CAPITAL MANAGEMENT INC
CRD#: 142257 / SEC#:
Contact information
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.
