Frank B. Simpson

THE SIMPSON FIRM LLC

White Plains, MD

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CRD#: 6699537

Professional summary

Frank Bjoy Simpson Jr, who also goes by Frank Simpson, is a registered financial advisor currently at THE SIMPSON FIRM LLC located in White Plains, Maryland.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Frank has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Simpson

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) - RIA

Click below to view Frank Bjoy Simpson Jr's CRS (Customer Relationship Summary).

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

Current

February 22, 2019 - Present

THE SIMPSON FIRM LLC

RIA

CRD#: 299204

White Plains, MD

Past

January 17, 2017 - October 22, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BETHESDA, MD

Past

November 23, 2016 - October 22, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BETHESDA, MD

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(2/22/2019)

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: 1/9/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/2016

General Securities Representative Examination

Current Firm

THE SIMPSON FIRM LLC

CRD#: 299204 / SEC#:

Maryland

Registered Investment Advisory firm - (2/22/2019 Approved)

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Contact information

Main Address

White Plains, MD

Mailing Address

Phone number

(301) 539-9331

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Frank B. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Bjoy Simpson Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE SIMPSON FIRM LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 1/9/2017

SIE

Date: 10/1/2018

Series 7

Date: 11/23/2016

Current Firm

THE SIMPSON FIRM LLC

Contact information

Documents

Red Flags

Company Information

THE SIMPSON FIRM LLC

TRUST BUT VERIFY

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