Simon B. Kerruish
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 Barry Kerruish was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2001. Simon had worked at 5 firms and has passed the Series 63, Series 65, Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2012 - January 30, 2014
STRATEGIC TRANSITION SECURITIES, LLC
November 30, 2011 - December 31, 2013
GREYSTONE CAPITAL ADVISORS, LLC
September 26, 2008 - February 26, 2010
WESTBOURNE INVESTMENTS, INC.
May 7, 2004 - November 29, 2006
PALI CAPITAL, INC.
October 24, 2001 - April 19, 2004
HSBC BROKERAGE (USA) INC.
State Registrations and Notice Filings
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Exams
Current Firm
STRATEGIC TRANSITION SECURITIES, LLC
CRD#: 146952 / SEC#: , 8-67862
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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