Herbert E. 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.
Herbert Evans Simon was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1966. Herbert had worked at 10 firms and has passed the Series 63, SIE, PC, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2008 - December 31, 2020
LADENBURG THALMANN & CO. INC.
October 24, 2002 - May 16, 2008
PUNK, ZIEGEL & COMPANY, L.P.
January 2, 1998 - October 28, 2002
DIRKS & COMPANY, INC.
November 6, 1996 - December 31, 1997
NATIONAL SECURITIES CORPORATION
September 23, 1985 - November 29, 1996
LADENBURG THALMANN & CO. INC.
August 1, 1984 - October 10, 1985
PERSHING LLC
February 16, 1982 - July 30, 1984
KUHNS BROTHERS & LAIDLAW, INC.
November 2, 1981 - February 26, 1982
ROONEY, PACE INC.
December 20, 1976 - September 11, 1981
JOHN MUIR & CO.
May 25, 1973 - December 26, 1976
JII SECURITIES INC.
May 24, 1966 - June 29, 1973
PHILIPS, APPEL & WALDEN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 8/25/1977
AMEX Put and Call ExamSeries 1
Date: 5/23/1966
Registered Representative ExaminationSeries 000
Date: 5/1/1966
General Securities Principal ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
