Robert S. 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.
Robert Steele Simpson JR, who also goes by Robert S Simpson Jr, Robert S Simpson, Robert Steele Simpson, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1966. Robert had worked at 12 firms and has passed the Series 63, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 1993 - June 10, 2003
MORGAN STANLEY DW INC.
August 23, 1993 - June 10, 2003
MORGAN STANLEY DW INC.
November 9, 1989 - August 20, 1993
UBS FINANCIAL SERVICES INC.
April 9, 1985 - October 25, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 1981 - March 19, 1985
PRUDENTIAL EQUITY GROUP, LLC
July 11, 1980 - January 4, 1982
UBS FINANCIAL SERVICES INC.
November 22, 1977 - April 25, 1980
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
February 10, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
August 6, 1974 - February 9, 1976
DREXEL BURNHAM LAMBERT INCORPORATED
March 21, 1974 - September 22, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 2, 1973 - May 19, 1974
DUPONT WALSTON, INCORPORATED
September 29, 1972 - July 2, 1973
DUPONT GLORE FORGAN INC
September 19, 1966 - November 4, 1972
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
Series 1
Date: 9/16/1966
Registered Representative ExaminationSeries 40
Date: 11/4/1972
Registered Principal ExaminationSeries 12
Date: 10/16/1972
NYSE Branch Manager ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
