John Edward Simone
Professional Summary
John Edward Simone, who also goes by John E Simone, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Orlando, Florida and HILLTOP SECURITIES INC. located in Orlando, Florida. John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. John has worked at 3 firms and has passed the Series 66, Series 52TO, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John E Simone
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
1 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC
Contact Information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201Phone Number
(214) 953-4000# of Employees
31SEC notice filing (25 States and Territories)
Registered to provide investment advisory services in 25 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
60AUM (Assets Under Management)
$37,701,591,625Similar Advisors
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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.
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Primary Firm SEC Registration
FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Aug 2026About the Series 52TO examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view John Edward Simone's CRS (Customer Relationship Summary).
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