John M. Simon
PACIFIC CAPITAL ASSOCIATES
SAN DIEGO, CA 92123-1688
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CRD#: 4100566
Professional summary
John Matthew Simon, CFP® is a registered financial advisor currently at PACIFIC CAPITAL ASSOCIATES located in San Diego, California and MUTUAL SECURITIES, INC. located in San Diego, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. MUTUAL SECURITIES, INC.; INVESTMENT-RELATED; 4747 VIEWRIDGE AVENUE, SUITE 107 SAN DIEGO, CA 92123; BROKER-DEALER; REGISTERED REPRESENTATIVE; START DATE 03/2019; APPROXIMATELY 12 HOURS PER MONTH; 6 HOURS DURING TRADING HOURS; BROKER-DEALER BUSINESS WORKING WITH DIRECT MUTUAL FUND ACCOUNTS, 403B's, 529's, AND FIXED/VARIABLE ANNUITIES. 2. INDEPENDENT INSURANCE AGENT; INVESTMENT-RELATED; 4747 VIEWRIDGE AVENUE, SUITE 107 SAN DIEGO, CA 92123; INSURANCE SALES; INSURANCE AGENT; START DATE 2000; APPROXIMATELY 2 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; SELLING TERM LIFE INSURANCE 3. City of Escondido - Community Services, Start Date: 04/01/2025, 201 N. Broadway, Escondido, CA 92025, General-law City, Community Service, Recreation Specialist (Referee), Responsible for the general supervision of youth and adult hockey games by enforcing the rules and maintaining the order of the game, Not Investment Related, 16 Hours per month, 0 Hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Matthew Simon's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2003
Experience
Current
March 15, 2012 - Present
PACIFIC CAPITAL ASSOCIATES
Office #1: 4747 Viewridge Ave Ste 107, San Diego, CA 92123-1688RIA
CRD#: 160407
SAN DIEGO, CA
Current
March 4, 2019 - Present
MUTUAL SECURITIES, INC.
Office #1: 4747 Viewridge Ave Ste 107, San Diego, CA 92123BD
CRD#: 13092
San Diego, CA
Past
November 1, 2017 - November 13, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN DIEGO, CA
Past
November 1, 2017 - March 5, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN DIEGO, CA
Past
August 11, 2005 - October 24, 2005
AMERICAN MONEY MANAGEMENT, LLC
RIA
CRD#: 115357
RANCHO SANTA FE, CA
Past
December 13, 2004 - November 1, 2017
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
SAN DIEGO, CA
Past
October 2, 2003 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
March 20, 2000 - October 7, 2003
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SAN DIEGO, CA
Past
January 2, 2000 - October 7, 2003
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PACIFIC CAPITAL ASSOCIATES
CRAWFORD CAPITAL MANAGEMENT, INC | PACIFIC CAPITAL ASSOCIATES, INC. | PACIFIC CAPITAL ASSOCIATES
CRD#: 160407 / SEC#: 801-112260
RIA
Registered Investment Advisory firm - (1/5/2018 Approved)California
Registered Investment Advisory firm - (2/7/2018 Terminated)Texas
Registered Investment Advisory firm - (1/8/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/5/2019)
IAR
California(3/15/2012)
RR
California(3/4/2019)
RR
Colorado(3/4/2019)
RR
Florida(3/4/2019)
RR
Hawaii(3/4/2019)
RR
Idaho(9/15/2025)
RR
Illinois(11/4/2025)
RR
Nevada(3/5/2019)
RR
New Hampshire(3/5/2019)
RR
New Mexico(3/5/2019)
RR
New York(3/4/2019)
RR
Oregon(3/5/2019)
RR
Pennsylvania(3/5/2019)
IAR
Texas(3/12/2013)
RR
Washington(4/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PACIFIC CAPITAL ASSOCIATES
CRAWFORD CAPITAL MANAGEMENT, INC | PACIFIC CAPITAL ASSOCIATES, INC. | PACIFIC CAPITAL ASSOCIATES
CRD#: 160407 / SEC#: 801-112260
RIA
Registered Investment Advisory firm - (1/5/2018 Approved)California
Registered Investment Advisory firm - (2/7/2018 Terminated)Texas
Registered Investment Advisory firm - (1/8/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4747 Viewridge Ave Suite 107, San Diego, CA 92123-1688
Mailing Address
Phone number
(858) 560-5244
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,081 |
| AUM (Assets Under Management) | $ 221,091,916 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
