Michael R. Simon
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.
Michael Richard Simon, who also goes by Mike Simon, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2017 - August 16, 2024
HAMILTON GRANT LLC
January 31, 2014 - January 3, 2017
AARON CAPITAL INCORPORATED
June 3, 2008 - March 4, 2014
OEM CAPITAL CORP.
June 8, 2005 - August 23, 2007
GLOCAP FUNDING, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HAMILTON GRANT LLC
CRD#: 166180 / SEC#: , 8-69192
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| XEEN, LLC | MEMBER | |
| KEBETS, VADIM | MEMBER | 6141170 |
| KOCHAVI, DORON | MEMBER | 1011155 |
| KUO, ANDREW C | MEMBER | 4415637 |
| LEE, BONNY SY | MEMBER | 2486522 |
| O'CONNELL, THOMAS MICHAEL | MEMBER | 2529442 |
| REA, WENDY AUSTIN | MEMBER | 724857 |
| VIKHLYAEV, ALEXANDER | MEMBER; MEMBER BOARD OF MANAGERS | 7278312 |
| BIZUB, DONALD MICHAEL | CEO | 1600090 |
| COLLETT, DAVID WENDALL | VP, CFO | 2352407 |
| KAISER, BRADLEY CLIFFORD | CCO | 2523397 |
| MORRIS, JOHN M | CHAIRMAN, BOARD OF MANAGERS | 1655987 |
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.
