Joshua W. Simmons
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.
Joshua Wade Simmons was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2007. Joshua had worked at 3 firms and has passed the Series 66, SIE 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
July 9, 2014 - January 15, 2016
REUTERS TRANSACTION SERVICES LLC
September 20, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
February 25, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
May 22, 2007 - September 18, 2008
MICG INVESTMENT MANAGEMENT, LLC
February 26, 2007 - September 18, 2008
MICG INVESTMENT MANAGEMENT, 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
Current Firm
REUTERS TRANSACTION SERVICES LLC
CRD#: 13245 / SEC#: , 8-28915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMSON REUTERS (MARKETS) LLC | OWNER | |
| BULKA, SHMUEL RAFAEL | SECRETARY | 6315632 |
| CARLEY, WILLIAM BRENNAN | DIRECTOR | 6261529 |
| CHIN, MICHAEL KENNETH | DIRECTOR | 4426103 |
| GRIMM, LINDA STEINMANN | FINOP | 1970620 |
| SWEENEY, JESSICA E | CHIEF COMPLIANCE OFFICER | 3220826 |
| VENEZIA, THOMAS ANTHONY | DIRECTOR, SVP AND MANAGING PRINCIPAL | 4801049 |
Disclosures
| Regulatory Event | 2 |
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.
