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JS

John M. Simon

ALLEN & COMPANY LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 424547
JS

Professional summary

John Mayer Simon is a registered financial professional currently at ALLEN & COMPANY LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1972. John has worked at 1 firm and has passed the Series 79TO, Series 7TO, SIE, Series 24 and Series 00 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) - BD

Click below to view John Mayer Simon's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 19, 1972 - Present

ALLEN & COMPANY LLC

Office #1: 711 Fifth Avenue, New York, NY 10022Office #2: 711 Fifth Avenue, New York, NY 10022
BD
CRD#: 1042
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

General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 5/15/1972
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

A&
ALLEN & COMPANY LLC
ALLEN & COMPANY INCORPORATED | ALLEN & COMPANY LLC

CRD#: 1042 / SEC#: , 8-12123

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
711 Fifth Avenue, New York, NY 10022
Mailing Address
711 Fifth Avenue, New York, NY 10022
Phone number
(212) 832-8000
Established
New York since 08/03/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLEN OPERATIONS LLCPARENT COMPANY
ALLEN, HERBERT, III ANTHONYMANAGING DIRECTOR & PRESIDENT1532662
DIIORIO, PETERGENERAL COUNSEL5309583
GOLINSKY, JODICHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL7671190
MOORE, THOMAS MICHAELVICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER)6046204
VAHABZADEH, SALIMAMANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL3093372

Disclosures

Regulatory Event14

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

ALLEN & COMPANY LLC

CRD#: 1042New York, NY 10022

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