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Monica L. Simmons

Some features on this profile are disabled
CRD#: 3138286
MS

Professional summary

Monica Lynn Simmons was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Monica is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Monica had worked at 1 firm, which includes WALL STREET FINANCIAL GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 3, 1998 - March 17, 1999

WALL STREET FINANCIAL GROUP, INC.

BD
CRD#: 35830
VICTOR, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/5/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/25/1998
General Securities Representative Examination

Current Firm

WS
WALL STREET FINANCIAL GROUP, INC.
WALL STREET FINANCIAL GROUP, INC | WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830 / SEC#: 801-58292, 8-46964

BD
Terminated by SEC on 02/04/2017
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Contact information

Main Address
580 Fishers Station Drive, Victor, NY 14564
Mailing Address
Phone number
Established
New York since 04/08/1992
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
ANDERSON, DALE ROBERTVICE PRESIDENT1378651
BACHFINK, VICTORIA IRENEPRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER2653237
BACHFINK, VICTORIA IRENECHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER2653237

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

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