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TS

Terry A. Simpson

ARES MANAGEMENT CAPITAL MARKETS LLC
New York, NY 10167
Some features on this profile are disabled
CRD#: 4810657
TS

Professional summary

Terry A Simpson, CFA is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in New York, New York.

Terry is registered as a RR (Registered Representative) and started their career in finance in 2004. Terry has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

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 Terry A Simpson'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®
CFA

Chartered Financial Analyst

Experience

Current

January 2, 2026 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 245 Park Avenue 44th Floor, New York, NY 10167
BD
CRD#: 166219
New York, NY
Past

April 17, 2025 - January 2, 2026

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
New York, NY
Past

April 19, 2007 - March 11, 2025

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
NEW YORK, NY
Past

September 29, 2006 - March 11, 2025

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

September 8, 2006 - October 12, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
STAMFORD, CT
Past

September 8, 2006 - September 29, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

October 1, 2004 - October 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MOUNT KISCO, NY
Past

August 27, 2004 - October 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MOUNT KISCO, NY

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
Alabama
(1/2/2026)
RR
Alaska
(1/2/2026)
RR
Arizona
(1/2/2026)
RR
Arkansas
(1/2/2026)
RR
California
(1/2/2026)
RR
Colorado
(1/2/2026)
RR
Connecticut
(1/2/2026)
RR
Delaware
(1/2/2026)
RR
District of Columbia
(1/2/2026)
RR
Florida
(1/2/2026)
RR
Georgia
(1/2/2026)
RR
Hawaii
(1/2/2026)
RR
Idaho
(1/2/2026)
RR
Illinois
(1/2/2026)
RR
Indiana
(1/2/2026)
RR
Iowa
(1/2/2026)
RR
Kansas
(1/2/2026)
RR
Kentucky
(1/2/2026)
RR
Louisiana
(1/2/2026)
RR
Maine
(1/2/2026)
RR
Maryland
(1/2/2026)
RR
Massachusetts
(1/2/2026)
RR
Michigan
(1/2/2026)
RR
Minnesota
(1/2/2026)
RR
Mississippi
(1/2/2026)
RR
Missouri
(1/2/2026)
RR
Montana
(1/2/2026)
RR
Nebraska
(1/2/2026)
RR
Nevada
(1/2/2026)
RR
New Hampshire
(1/2/2026)
RR
New Jersey
(1/2/2026)
RR
New Mexico
(1/2/2026)
RR
New York
(1/2/2026)
RR
North Carolina
(1/2/2026)
RR
North Dakota
(1/2/2026)
RR
Ohio
(1/2/2026)
RR
Oklahoma
(1/2/2026)
RR
Oregon
(1/2/2026)
RR
Pennsylvania
(1/2/2026)
RR
Puerto Rico
(2/12/2026)
RR
Rhode Island
(1/2/2026)
RR
South Carolina
(1/2/2026)
RR
South Dakota
(1/2/2026)
RR
Tennessee
(1/2/2026)
RR
Texas
(1/2/2026)
RR
Utah
(1/2/2026)
RR
Vermont
(1/2/2026)
RR
Virgin Islands
(1/2/2026)
RR
Virginia
(1/2/2026)
RR
Washington
(1/2/2026)
RR
West Virginia
(1/2/2026)
RR
Wisconsin
(1/2/2026)
RR
Wyoming
(1/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/30/2004
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: 8/26/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

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

Main Address
1200 17th Street Suite 2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite 2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# 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#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCO-CEO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
TAYLOR, JEFFREY WILLIAMCO-CEO2874057

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219New York, NY 10167

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