Lawrence S. 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.
Lawrence Stephen Simon was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1998. Lawrence had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2017 - May 3, 2018
MARCUM FINANCIAL SERVICES LLC
June 23, 2010 - December 31, 2016
MARCUM FINANCIAL SERVICES LLC
January 2, 2009 - February 14, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 26, 2001 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 19, 2001 - February 14, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 19, 2000 - December 31, 2010
MARGOLIS FINANCIAL SERVICES,LLC
December 16, 1998 - March 23, 2001
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
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Exams
Current Firm
MARCUM FINANCIAL SERVICES LLC
CRD#: 152309 / SEC#:
Contact information
Red Flags
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