Simon D. Wills
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 Daniel Wills, who also goes by Simon Wills, was a registered financial professional .
Simon is a previously registered financial professional and started their career in finance in 2017. Simon had worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2023 - July 3, 2024
YIELDSTREET
October 11, 2017 - September 27, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2017 - September 27, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
YIELDSTREET
CRD#: 282487 / SEC#: 801-107574
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
YIELDSTREET
CRD#: 282487 / SEC#: 801-107574
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 1,862,096,214 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/25/2025 | ||
| 06/27/2024 |
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.
