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JS

John D. Simone

ARMSTRONG SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4266560
JS

Professional summary

John David Simone, who also goes by John Simone, is a registered financial professional currently at ARMSTRONG SECURITIES LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 4 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Simone

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 David Simone's 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

June 15, 2023 - Present

ARMSTRONG SECURITIES LLC

Office #1: 711 3rd Avenue Suite 501, New York, NY 10017
BD
CRD#: 307429
New York, NY
Past

September 23, 2014 - December 2, 2021

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
BARRINGTON HILLS, IL
Past

March 22, 2005 - September 22, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
CHICAGO, IL
Past

November 9, 2000 - May 17, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/15/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/23/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/12/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ARMSTRONG SECURITIES LLC
ARMSTRONG SECURITIES LLC

CRD#: 307429 / SEC#: , 8-70480

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

Main Address
711 3rd Avenue Floor 5, New York, NY 10017
Mailing Address
53 Forest Avenue 3rd Floor, Old Greenwich, CT 06870
Phone number
(212) 938-1200
Established
Connecticut since 01/09/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARMSTRONG SECURITIES HOLDINGS LLCDIRECT OWNER
DALEY, RICHARD ANTHONYCOO/CCO2242011
MORENO, DANIEL ERICPOO4817706
POLISCHUK, JENNIFER LARAFINOP AND PFO3118457
TECOTZKY, MARK IRACEO1656046

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

ARMSTRONG SECURITIES LLC

CRD#: 307429New York, NY 10017

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