Simon Paul Pockrus
Professional Summary
Simon Paul Pockrus is a registered financial advisor currently at CORNERSTONE WEALTH MANAGEMENT, LLC located in Springdale, Arkansas and LPL FINANCIAL LLC located in Springdale, Arkansas. Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Simon has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
Current Firm
ANDERSON INVESTMENTS, LLC | WEST FINANCIAL SERVICES | VINE WEALTH MANAGEMENT | TRIADA ADVISORS | THOROUGHBRED FINANCIAL SOLUTIONS | STONE 8 WEALTH MANAGEMENT, LLC | STEAMBOAT FINANCIAL GROUP | STAUROS FINANCIAL, LLC | SCARBOROUGH FINANCIAL GROUP, LLC | RP ZEIGLER INVESTMENT SERVICES | REISS FINANCIAL GROUP, LLC | RAUDENBUSH FINANCIAL SERVICES, LLC | RAUDENBUSH FINANCIAL SERVICES | RAINS WEALTH MANAGEMENT | PHIPPS WEALTH MANAGEMENT, LLC | MORSE WEALTH MANAGEMENT | MINDFUL WEALTH MANAGEMENT, LLC | MILESTONE INVESTMENT COUNSEL | LIFETIME PLANNING, INC. | LEGENDS FINANCIAL SERVICES GROUP, LLC | LEGENDS FINANCIAL SERVICES GROUP LLC | JACHURA FINANCIAL | INSIGHT FINANCIAL SOLUTIONS | HILL WEALTH MANAGEMENT, LLC | GLASSCOCK FINANCIAL | GIELLA FINANCIAL SERVICES, LLC | GENFINITY WEALTH MANAGEMENT | GATEWAY WEALTH MANAGEMENT, LLC | FOCUS WEALTH MANAGEMENT | FISHER FINANCIAL, LLC | FAITHVEST | ERIK THOMPSON FINANCIAL STRATEGIES LLC | ERIK THOMPSON FINANCIAL STRATEGIES | ENDEAVOR WEALTH MANAGEMENT, LLC | DIXON INCORPORATED | CORNERSTONE WEALTH MANAGEMENT, LLC | CORNERSTONE WEALTH MANAGEMENT ROSCOE | CARLISLE MOTT FINANCIAL | BELL & ASSOCIATES WEALTH MANAGEMENT | ASPIRE WEALTH MANAGEMENT, LLC
Contact Information
Main Address
13358 Manchester Road Suite 200, Des Peres, MO 63131Phone Number
(314) 394-1670# of Employees
103SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
20,602AUM (Assets Under Management)
$4,934,013,239Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
Primary Firm SEC Registration
ANDERSON INVESTMENTS, LLC | WEST FINANCIAL SERVICES | VINE WEALTH MANAGEMENT | TRIADA ADVISORS | THOROUGHBRED FINANCIAL SOLUTIONS | STONE 8 WEALTH MANAGEMENT, LLC | STEAMBOAT FINANCIAL GROUP | STAUROS FINANCIAL, LLC | SCARBOROUGH FINANCIAL GROUP, LLC | RP ZEIGLER INVESTMENT SERVICES | REISS FINANCIAL GROUP, LLC | RAUDENBUSH FINANCIAL SERVICES, LLC | RAUDENBUSH FINANCIAL SERVICES | RAINS WEALTH MANAGEMENT | PHIPPS WEALTH MANAGEMENT, LLC | MORSE WEALTH MANAGEMENT | MINDFUL WEALTH MANAGEMENT, LLC | MILESTONE INVESTMENT COUNSEL | LIFETIME PLANNING, INC. | LEGENDS FINANCIAL SERVICES GROUP, LLC | LEGENDS FINANCIAL SERVICES GROUP LLC | JACHURA FINANCIAL | INSIGHT FINANCIAL SOLUTIONS | HILL WEALTH MANAGEMENT, LLC | GLASSCOCK FINANCIAL | GIELLA FINANCIAL SERVICES, LLC | GENFINITY WEALTH MANAGEMENT | GATEWAY WEALTH MANAGEMENT, LLC | FOCUS WEALTH MANAGEMENT | FISHER FINANCIAL, LLC | FAITHVEST | ERIK THOMPSON FINANCIAL STRATEGIES LLC | ERIK THOMPSON FINANCIAL STRATEGIES | ENDEAVOR WEALTH MANAGEMENT, LLC | DIXON INCORPORATED | CORNERSTONE WEALTH MANAGEMENT, LLC | CORNERSTONE WEALTH MANAGEMENT ROSCOE | CARLISLE MOTT FINANCIAL | BELL & ASSOCIATES WEALTH MANAGEMENT | ASPIRE WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(8/31/2017)
(9/19/2017)
(9/13/2018)
(1/25/2023)
(8/31/2017)
(9/14/2017)
(8/31/2017)
(11/14/2024)
(9/21/2017)
(9/14/2017)
(9/14/2017)
(9/14/2017)
(9/5/2017)
(9/14/2017)
(8/31/2017)
(3/1/2018)
(11/1/2017)
(2/23/2018)
(9/14/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.
CRS (Client Relationship Summary) - RIA
Click below to view Simon Paul Pockrus's CRS (Customer Relationship Summary).
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
MORGAN STANLEY
KEY INVESTMENT SERVICES LLC
A. T. BROD & CO. INC.