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SS

Scott J. Simon

NEXPOINT SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4532853
SS

Professional summary

Scott Jeffrey Simon is a registered financial professional currently at NEXPOINT SECURITIES, INC. located in Dallas, Texas.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Scott Jeffrey Simon's CRS (Customer Relationship Summary).
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

October 7, 2019 - Present

NEXPOINT SECURITIES, INC.

Office #1: 200 Crescent Court Suite 700, Dallas, TX 75201
BD
CRD#: 165013
Dallas, TX
Past

September 21, 2018 - October 3, 2019

MCDERMOTT INVESTMENT ADVISORS, LLC

RIA
CRD#: 132221
Dallas, TX
Past

September 21, 2018 - October 3, 2019

MCDERMOTT INVESTMENT SERVICES, LLC

BD
CRD#: 154926
NAPLES, FL
Past

February 22, 2018 - June 22, 2018

EQIS SECURITIES, LLC

BD
CRD#: 20633
SAN RAFAEL, CA
Past

September 14, 2017 - June 22, 2018

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 126052
Dallas, TX
Past

January 18, 2016 - February 8, 2017

TRITON PACIFIC SECURITIES, LLC

BD
CRD#: 139919
Laguna Niguel, CA
Past

January 9, 2013 - December 8, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
DALLAS, TX
Past

June 8, 2004 - January 11, 2013

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
ADDISON, TX
Past

January 1, 2004 - April 28, 2004

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PENNSAUKEN, NJ
Past

January 1, 2004 - April 28, 2004

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

July 29, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
PENNSAUKEN, NJ
Past

July 29, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

July 15, 2002 - April 4, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 15, 2002 - April 4, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Texas
(10/7/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/8/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/12/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NEXPOINT SECURITIES, INC.
HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. | PYXIS DISTRIBUTORS, INC. | NEXPOINT SECURITIES, INC.

CRD#: 165013 / SEC#: , 8-69128

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

Main Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Mailing Address
200 Crescent Court, Suite 700, Dallas, TX 75201
Phone number
(833) 697-6246
Established
Delaware since 06/14/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NEXPOINT ASSET MANAGEMENT, L.P.SHAREHOLDER149653
HOLT, DAVID ERICCHIEF COMPLIANCE OFFICER/ POO2426935
NORRIS, DUSTIN DAVIDPRESIDENT6624477
RUSSELL, SARAH DETLINGFINOP / PFO6727189

Disclosures

Regulatory Event1

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

NEXPOINT SECURITIES, INC.

CRD#: 165013Dallas, TX 75201

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