Gene M. Simpson
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.
Gene Marshall Simpson was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1973. Gene had worked at 9 firms and has passed the Series 65, Series 63, PC, Series 000 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
January 26, 2018 - December 19, 2018
STRATOSPHERE ASSET MANAGEMENT
November 12, 2012 - May 3, 2013
RANCE KING SECURITIES CORP.
September 21, 2010 - November 16, 2010
RANCE KING SECURITIES CORP.
October 23, 2006 - March 26, 2010
LPL FINANCIAL LLC
October 23, 2006 - March 26, 2010
LPL FINANCIAL LLC
September 10, 2002 - October 30, 2006
CITIGROUP GLOBAL MARKETS INC.
September 10, 2002 - October 30, 2006
CITIGROUP GLOBAL MARKETS INC.
July 26, 1999 - September 16, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 26, 1999 - September 16, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1989 - July 24, 1999
A. G. EDWARDS & SONS, INC.
December 1, 1986 - January 7, 1989
UBS FINANCIAL SERVICES INC.
February 1, 1983 - December 16, 1986
PRUDENTIAL EQUITY GROUP, LLC
October 23, 1975 - February 10, 1983
E. F. HUTTON & COMPANY INC
September 4, 1973 - November 22, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 10/25/1983
AMEX Put and Call ExamSeries 000
Date: 10/1/1973
General Securities Principal ExaminationSeries 1
Date: 8/29/1973
Registered Representative ExaminationCurrent Firm
STRATOSPHERE ASSET MANAGEMENT
CRD#: 290168 / 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.
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