Simon Ross

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CRD#: 6641030

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.

Simon Ross, who also goes by Simon Davis Ross, Simon Ross, was a registered financial professional .

Simon is a previously registered financial professional and started their career in finance in 2016. Simon had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Simon Davis Ross | Simon Ross

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.

Masterworks; investment related; New York, NY; start date as noted in the employment section; 160 hours all during trading hours; Duties art securities sales.

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

June 23, 2023 - October 16, 2023

MASTERWORKS ADVISERS, LLC

RIA

CRD#: 324239

NEW YORK, NY

Past

November 3, 2021 - June 29, 2023

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

New York, NY

Past

November 2, 2021 - February 27, 2023

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

New York, NY

Past

September 16, 2020 - November 3, 2021

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

New York, NY

Past

February 13, 2019 - December 5, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WOODLAND HILLS, CA

Past

February 12, 2019 - December 5, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WOODLAND HILLS, CA

Past

February 27, 2018 - February 28, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

SOUTH BURLINGTON, VT

Past

February 26, 2018 - February 28, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

February 26, 2018 - February 28, 2018

TD AMERITRADE, INC.

CRD#: 7870

SOUTH BURLINGTON, VT

Past

October 26, 2016 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

September 22, 2016 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

SOUTH BURLINGTON, VT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MASTERWORKS ADVISERS, LLC

CRD#: 324239 / SEC#: 801-127158

RIA

Registered Investment Advisory firm - (9/7/2023 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/20/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/2016

General Securities Representative Examination

Current Firm

MASTERWORKS ADVISERS, LLC

CRD#: 324239 / SEC#: 801-127158

RIA

Registered Investment Advisory firm - (9/7/2023 Approved)

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Contact information

Main Address

1 World Trade 57th Floor, New York, NY 10007

Mailing Address

Phone number

(203) 518-5172

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MASTERWORKS ADVISERS FORM ADV PART 2A SEPTEMBER 19,2025 (9/19/2025)

Regulatory assets under management

Total Number of Accounts	625
AUM (Assets Under Management)	$ 1,983,059

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.

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Advisor Monitoring

Firm Stability Insights

Simon Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARETE WEALTH ADVISORS, LLC

ARETE WEALTH MANAGEMENT, LLC

INDEPENDENT BROKERAGE SOLUTIONS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

MASTERWORKS ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2016

SIE

Date: 2/28/2018

Series 7

Date: 9/22/2016

Current Firm

MASTERWORKS ADVISERS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MASTERWORKS ADVISERS, LLC

TRUST BUT VERIFY

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