Simon D. Walker

JAVELIN PRIVATE CAPITAL GROUP

New York, NY 10022

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CRD#: 4320950

Professional summary

Simon David Walker, who also goes by Simon D Walker, Simon Walker, is a registered financial professional currently at JAVELIN PRIVATE CAPITAL GROUP LLC located in New York, New York.

Simon is registered as a RR (Registered Representative) and started their career in finance in 2004. Simon has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Simon D Walker | Simon Walker

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 Simon David Walker'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

March 25, 2026 - Present

JAVELIN PRIVATE CAPITAL GROUP LLC

Office #1: 800 3rd Ave Suite 3703, New York, NY 10022

CRD#: 310169

New York, NY

Past

February 9, 2023 - July 10, 2025

TCBI SECURITIES, INC.

CRD#: 313304

Houston, TX

Past

May 3, 2022 - February 1, 2023

THE BENCHMARK COMPANY, LLC

CRD#: 22982

NEW YORK, NY

Past

August 18, 2020 - April 28, 2022

IMPERIAL CAPITAL, LLC

CRD#: 43744

HOUSTON, TX

Past

August 15, 2017 - August 9, 2018

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

March 17, 2011 - February 17, 2017

UBS SECURITIES LLC

CRD#: 7654

HOUSTON, TX

Past

October 13, 2010 - December 8, 2010

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

October 22, 2007 - August 12, 2010

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 25, 2004 - September 20, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(3/25/2026)

Connecticut
(3/30/2026)

Illinois
(3/30/2026)

Missouri
(3/26/2026)

New York
(4/7/2026)

Pennsylvania
(3/26/2026)

Texas
(3/27/2026)

Exams

State Security Law Exam

Series 63

Date: 8/10/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JAVELIN PRIVATE CAPITAL GROUP LLC

CRD#: 310169 / SEC#: , 8-70661

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

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Contact information

Main Address

800 3rd Ave Suite 3703, New York, NY 10022

Mailing Address

800 3rd Ave Suite 3703, New York, NY 10022

Phone number

(646) 916-1933

Established

Delaware since 05/27/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
JAVELIN GLOBAL COMMODITIES (US) LP	MANAGING MEMBER
COSIO, ROMMEL	CHIEF COMPLIANCE OFFICER	2017788
FREUND, JERROD MICHAEL	CO- CHIEF EXECUTIVE OFFICER	4582685
KIZER, MICHAEL WOOD	CO- CHIEF EXECUTIVE OFFICER	4829211
SHAW, ANTHONY	FINOP/PFO/POO	7338445

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.

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Advisor Monitoring

Firm Stability Insights

Simon D. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simon David Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCBI SECURITIES, INC.

THE BENCHMARK COMPANY, LLC

IMPERIAL CAPITAL, LLC

MIZUHO SECURITIES USA LLC

UBS SECURITIES LLC

NATWEST MARKETS SECURITIES INC.

UBS SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/10/2020

SIE

Date: 8/9/2018

Series 7

Date: 10/23/2004

Series 24

Date: 6/20/2018

FINRA

Current Firm

JAVELIN PRIVATE CAPITAL GROUP LLC

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

JAVELIN PRIVATE CAPITAL GROUP LLC

TRUST BUT VERIFY

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