Simon Singer
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.
Simon Singer, CFP®, who also goes by Stuffy Singer, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 1987. Simon had worked at 12 firms and has passed the SIE, Series 22, Series 6 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
Start date: 1991
Experience
April 21, 2016 - January 5, 2026
KESTRA ADVISORY SERVICES, LLC
September 21, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
April 30, 2008 - March 30, 2010
KESTRA INVESTMENT SERVICES, LLC
April 19, 2006 - January 5, 2026
KESTRA INVESTMENT SERVICES, LLC
November 12, 2003 - December 31, 2005
PRIVATE CONSULTING GROUP, INC.
September 5, 2002 - November 14, 2003
WOODBURY FINANCIAL SERVICES, INC.
August 16, 2001 - August 29, 2002
WALNUT STREET SECURITIES, INC.
January 2, 2001 - August 16, 2001
OGILVIE SECURITY ADVISORS CORPORATION
September 10, 1999 - December 15, 2000
1ST GLOBAL CAPITAL CORP.
July 16, 1997 - September 10, 1999
OGILVIE SECURITY ADVISORS CORPORATION
March 4, 1996 - September 17, 1997
TITAN/VALUE EQUITIES GROUP, INC.
June 2, 1992 - March 1, 1995
1717 CAPITAL MANAGEMENT COMPANY
November 1, 1989 - June 2, 1992
IDS LIFE INSURANCE COMPANY
November 1, 1989 - June 2, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
December 22, 1987 - November 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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: 8/29/1968
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
