Launcelot M. 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.
Launcelot M Simon, who also goes by Launcelot M Simon, Launcelot Martin Simon, Launcelot Simon, was a registered financial professional .
Launcelot is a previously registered financial professional and started their career in finance in 2009. Launcelot had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, 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
September 8, 2025 - April 8, 2026
PRINCIPAL ADVISED SERVICES
August 22, 2025 - April 8, 2026
PRINCIPAL SECURITIES, INC.
July 5, 2023 - June 26, 2025
VOYA RETIREMENT ADVISORS, LLC
July 5, 2023 - June 26, 2025
VOYA FINANCIAL PARTNERS, LLC
July 1, 2022 - June 7, 2023
VANGUARD ADVISERS, INC.
June 4, 2022 - June 7, 2023
VANGUARD MARKETING CORPORATION
April 25, 2011 - May 16, 2011
CHASE INVESTMENT SERVICES CORP.
June 2, 2010 - July 27, 2010
THINKEQUITY LLC
January 8, 2010 - April 14, 2010
JOHN THOMAS FINANCIAL
July 24, 2009 - February 9, 2010
E1 ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
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 7TO
Date: 6/3/2022
General Securities Representative ExaminationCurrent Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
Red Flags
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