Simeon F. Wooten

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CRD#: 4472798

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.

Simeon Francis Wooten III, who also goes by Simeon F Wooten III, Simeon F Wooten, was a registered financial professional .

Simeon is a previously registered financial professional and started their career in finance in 1998. Simeon had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Simeon F Wooten Iii | Simeon F Wooten

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 1998 - January 2, 2015

INVESTMENT COUNSELORS OF MARYLAND

RIA

CRD#: 116379

BALTIMORE, MD

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

INVESTMENT COUNSELORS OF MARYLAND

ICM | INVESTMENT COUNSELORS OF MARYLAND LLC | INVESTMENT COUNSELORS OF MARYLAND

CRD#: 116379 / SEC#: 801-60824

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Contact information

Main Address

150 North Riverside Plaza, Chicago, IL 61606

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE - 2021 ANNUAL AMENDMENT (3/5/2021)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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