Bernard J. Simons
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.
Bernard John Simons, who also goes by Bernard John Simons Jr., Bernard Simons, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 2003. Bernard had worked at 9 firms and has passed the 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
June 11, 2009 - March 12, 2012
ALLSTATE FINANCIAL SERVICES, LLC
April 30, 2008 - July 2, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2007 - March 10, 2008
CITIGROUP GLOBAL MARKETS INC.
February 3, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 18, 2006 - August 16, 2006
WAMU INVESTMENTS, INC.
April 23, 2004 - September 6, 2005
ESSEX NATIONAL SECURITIES, LLC
September 2, 2003 - April 28, 2004
METROPOLITAN LIFE INSURANCE COMPANY
September 2, 2003 - April 28, 2004
MSI FINANCIAL SERVICES, INC.
February 5, 2003 - September 12, 2003
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
