Scott J. Simons
Professional summary
Scott Joseph Simons is a registered financial professional currently at FIRST BALLANTYNE, LLC located in Charlotte, North Carolina.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Joseph Simons's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2013 - Present
FIRST BALLANTYNE, LLC
Office #1: 13950 Ballantyne Corporate Place, Suite 185, Charlotte, NC 28277Office #2: 13950 Ballantyne Corporate Place Suite 185, Charlotte, NC 28277-2747January 9, 2004 - September 6, 2013
FIFTH THIRD SECURITIES, INC.
November 27, 2002 - December 17, 2003
RAYMOND JAMES & ASSOCIATES, INC.
November 12, 2002 - December 2, 2002
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2013)
Exams
FINRA
Current Firm
FIRST BALLANTYNE, LLC
CRD#: 125393 / SEC#: , 8-65792
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
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