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MS

Meredith A. Simmons

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CRD#: 5814443
MS

Professional summary

Meredith Ann Simmons was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Meredith is a previously registered financial professional and started their career in finance in 2014. Prior to being barred, Meredith had worked at 1 firm, which includes MASON CAPITAL GROUP LLC.

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 2, 2014 - July 22, 2018

MASON CAPITAL GROUP, LLC

BD
CRD#: 170943
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 10/1/2014
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 10/9/2014
Direct Participation Programs Principal Examination

Current Firm

MC
MASON CAPITAL GROUP, LLC
MASON CAPITAL GROUP, LLC

CRD#: 170943 / SEC#: , 8-69438

BD
Terminated by SEC on 01/30/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/27/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASON CAPITAL HOLDINGS, LPMANAGING MEMBER
SATZINGER, DEREK RYANCEO/CCO6178722

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

MASON CAPITAL GROUP, LLC

CRD#: 170943

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