Lynn A. Simon
Professional summary
Lynn Alan Simon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lynn is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Lynn had worked at 6 firms, which includes CFD INVESTMENTS INC., CAPITAL SELECT INVESTMENTS CORP., AMERICAN GENERAL SECURITIES INCORPORATED, SECURITIES AMERICA INC., EQUITABLE ADVISORS LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2008 - May 22, 2013
CFD INVESTMENTS, INC.
January 31, 2006 - October 1, 2008
CAPITAL SELECT INVESTMENTS CORP.
January 16, 2004 - December 31, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
April 20, 1999 - December 31, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
March 31, 1989 - March 31, 1999
SECURITIES AMERICA, INC.
February 4, 1986 - April 4, 1989
AMERICAN GENERAL SECURITIES INCORPORATED
May 2, 1985 - November 29, 1985
EQUITABLE ADVISORS, LLC
April 29, 1981 - November 27, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
Red Flags
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