Jerome S. 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.
Jerome Sanford Simon, who also goes by Jerry Simon, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1974. Jerome had worked at 3 firms and has passed the Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2002 - December 31, 2015
SAK FINANCIAL LLC
July 24, 1986 - September 4, 1992
ROBERT W. BAIRD & CO. INCORPORATED
June 6, 1974 - October 12, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
Series 1
Date: 6/3/1974
Registered Representative ExaminationCurrent Firm
SAK FINANCIAL LLC
CRD#: 120377 / SEC#:
Contact information
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.
