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SW

Simon L. Wolffs

VNTR SECURITIES LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 6827421
SW

Professional summary

Simon Lim Wolffs, who also goes by Wolffs Lim Simon, Wolffs Simon, Sooman Lim Wolffs, is a registered financial professional currently at VNTR SECURITIES LLC located in New York, New York.

Simon is registered as a RR (Registered Representative) and started their career in finance in 2017. Simon has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wolffs Lim Simon | Wolffs Simon | Sooman Lim Wolffs

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) - BD

Click below to view Simon Lim Wolffs's CRS (Customer Relationship Summary).
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

July 30, 2019 - Present

VNTR SECURITIES LLC

Office #1: 152 Madison Avenue 7th Floor, New York, NY, 10016
BD
CRD#: 283856
New York, NY
Past

August 2, 2017 - July 22, 2019

CARTA SECURITIES, LLC

BD
CRD#: 282086
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/30/2019)
RR
New York
(7/30/2019)
RR
Virginia
(10/29/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/6/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VNTR SECURITIES LLC
VNTR SECURITIES LLC

CRD#: 283856 / SEC#: , 8-69768

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
152 Madison Avenue 7th Floor, New York, NY, 10016
Mailing Address
152 Madison Avenue 7th, New York, NY, 10016
Phone number
(347) 284-0110
Established
Delaware since 04/11/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MANHATTAN VENTURE HOLDINGS LLCDIRECT OWNER
BRACHFELD, ERIC LOUISCEO/CCO2297883
NIXON, JON ALANFINOP4710715

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.

Company Information

VNTR SECURITIES LLC

CRD#: 283856New York, NY 10016

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