John H. Simons
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.
John H Simons was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2017. John had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2020 - July 8, 2026
TREASURY BROKERAGE
May 16, 2017 - January 22, 2019
BLACKROCK INVESTMENTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
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Current Firm
TREASURY BROKERAGE
CRD#: 140855 / SEC#: , 8-67345
Contact information
FINRA licenses (31 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TREASURY HOLDINGS LLC | PARENT COMPANY | |
| CHAZEN, ARON L | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 2211603 |
| CHAZEN, ARON L | COMPLIANCE OFFICER | 2211603 |
| KAMINSKI, CHRISTOPHER JOHN | MANAGING MEMBER | 2585962 |
| MOYE, CELESTE WILLAT | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 6566618 |
| MOYE, CELESTE WILLAT | FINANCIAL OPERATIONS PRINCIPAL | 6566618 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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