Susan M. 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.
Susan Marcia Simon, who also goes by Susan M Simon, Susan Spivack, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2001. Susan had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2009 - October 1, 2021
THIRD EYE ASSOCIATES, LTD
August 5, 2005 - December 31, 2011
COMMONWEALTH FINANCIAL NETWORK
August 1, 2003 - August 10, 2005
WALNUT STREET SECURITIES, INC.
January 2, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 5, 2001 - December 31, 2001
CHRISTOPHER STREET FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
THIRD EYE ASSOCIATES, LTD
CRD#: 149627 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
