Donald J. Simon

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CRD#: 424522

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.

Donald John Simon was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1971. Donald had worked at 9 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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

September 8, 2000 - October 1, 2002

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

December 7, 1998 - December 31, 1999

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

September 15, 1993 - June 4, 1998

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

October 27, 1989 - December 31, 1992

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

September 8, 1984 - September 12, 1989

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

April 10, 1981 - November 19, 1984

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

April 10, 1981 - November 19, 1984

MONY SECURITIES CORPORATION

CRD#: 4386

Past

November 13, 1979 - May 30, 1980

VOSS & CO., INC.

CRD#: 6405

Past

September 1, 1976 - January 4, 1980

EQUITY SERVICES, INC.

CRD#: 265

Past

April 16, 1971 - July 9, 1972

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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

Series 63

Date: 12/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 4/12/1971

Registered Representative Examination

Current Firm

NATHAN & LEWIS SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC. | NATHAN, LEWIS & GRANT, INC.

CRD#: 8503 / SEC#: , 8-25463

Terminated by SEC on 10/12/2003

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 07/30/1980

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
NL HOLDING CORP. (DEL)	STOCK HOLDING CO.
AQUINO, VIRGELAN ERNESTO	VICE PRESIDENT	2976229
BERENGER, RICHARD WALTER	COMPLIANCE OFFICER	1041622
MARTZ, ROBERT NICHOLAS	VICE PRESIDENT	1901431
PETERSEN, ROBERT HENRY	VICE PRESIDENT & CHIEF FINANCIAL OFFICER	361234

Disclosures

Regulatory Event	2
Arbitration	1
Bond	1

Red Flags

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Donald J. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATHAN & LEWIS SECURITIES, INC.

THE O.N. EQUITY SALES COMPANY

GROVE POINT INVESTMENTS, LLC

GUARDIAN INVESTOR SERVICES LLC

GROVE POINT INVESTMENTS, LLC

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

VOSS & CO., INC.

EQUITY SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/1984

Series 1

Date: 4/12/1971

Current Firm

NATHAN & LEWIS SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATHAN & LEWIS SECURITIES, INC.

TRUST BUT VERIFY

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