Simon M. Cassidy
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.
Simon Michael Cassidy, who also goes by Michael Simon Cassidy, Michael Cassidy, Simon Cassidy, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1999. Simon had worked at 2 firms and has passed the Series 65, Series 63 and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2006 - December 31, 2021
TRIATHLON INVESTMENT MANAGEMENT LLC
February 23, 1999 - April 22, 1999
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Series 37
Date: 2/22/1999
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
TRIATHLON INVESTMENT MANAGEMENT LLC
CRD#: 136850 / SEC#:
Contact information
Red Flags
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