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SM

Simon J. Male

Some features on this profile are disabled
CRD#: 4182275
SM

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 James Male was a registered financial professional .

Simon is a previously registered financial professional and started their career in finance in 2000. Simon had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

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

July 3, 2019 - July 1, 2020

GREENLEYS CAPITAL MARKETS LLP

BD
CRD#: 168558
NYC, NY
Past

July 26, 2016 - June 12, 2017

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

March 14, 2014 - July 7, 2016

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

May 30, 2000 - November 21, 2012

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, 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: 8/1/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/12/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/2000
General Securities Representative Examination

Current Firm

GC
GREENLEYS CAPITAL MARKETS LLP
GREENLEYS CAPITAL MARKETS LLP | LXM USA LLP | LXM GROUP

CRD#: 168558 / SEC#: , 8-69319

BD
Terminated by SEC on 03/25/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/15/2013
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MAVRIDOGLOU, MATTHEW NICHOLAS DAVIDGENERAL PARTNER6226949
GRAY, JOHN CLARKEFINOP, CFO1367440
SWEENEY, RICHARD ACEO/CCO2396562

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.

Company Information

GREENLEYS CAPITAL MARKETS LLP

CRD#: 168558

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