Michael R. Simon
Professional summary
Michael Ray Simon, who also goes by Michael Simon, is a registered financial advisor currently at RBC ROCHDALE, LLC located in La Jolla, California and CNR SECURITIES, LLC located in La Jolla, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Michael has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ray Simon's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2021 - Present
RBC ROCHDALE, LLC
Office #1: 4275 Executive Square Suite 335, La Jolla, CA 92037April 26, 2021 - Present
CNR SECURITIES, LLC
Office #1: 4275 Executive Square 7th Floor, La Jolla, CA 92037Primary Firm SEC Registration
RBC ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/12/2021)
(8/17/2022)
Exams
Series 7TO
Date: 4/26/2021
General Securities Representative ExaminationFINRA
Current Firm
RBC ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42,671 |
| AUM (Assets Under Management) | $ 72,960,498,578 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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