Michael Ray 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Simon
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
5 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | RBC ROCHDALE, LLC | RBC ROCHDALE | CITY NATIONAL ROCHDALE, LLC
Contact Information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022Phone Number
(212) 702-3500# of Employees
269SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
42,770AUM (Assets Under Management)
$72,960,498,578Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2026 | Cover Page | Report |
| 01/28/2025 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | RBC ROCHDALE, LLC | RBC ROCHDALE | CITY NATIONAL ROCHDALE, LLC
State Registrations and Notice Filings
(7/12/2021)
(8/17/2022)
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.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Ray Simon's CRS (Customer Relationship Summary).
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