Kristopher Simon
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.
Kristopher Simon was a registered financial professional .
Kristopher is a previously registered financial professional and started their career in finance in 2003. Kristopher had worked at 5 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2014 - June 23, 2014
IFS SECURITIES
June 20, 2012 - November 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2011 - November 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2010 - September 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2006 - April 17, 2008
INVESTACORP, INC.
August 24, 2005 - April 24, 2006
A. G. EDWARDS & SONS, INC.
August 19, 2005 - April 24, 2006
A. G. EDWARDS & SONS, INC.
September 10, 2003 - April 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2003 - April 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2003 - August 18, 2003
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 1 |
Red Flags
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