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SL

Simon Lee

CLARENDON INSURANCE AGENCY
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 7965468
SL

Professional summary

Simon Lee is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

Simon is registered as a RR (Registered Representative) and started their career in finance in 2024. Simon has worked at 2 firms and has passed the Series 99TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Lee's 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

November 24, 2025 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Ave 6th Floor, Waltham, MA 02451
BD
CRD#: 7395
Waltham, MA
Past

August 16, 2024 - November 20, 2025

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
Hartford, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 8/16/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 6/28/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CLARENDON INSURANCE AGENCY, INC.
CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

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

Main Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Mailing Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Phone number
(781) 790-8600
Established
Massachusetts since 03/04/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DELAWARE LIFE INSURANCE COMPANYSOLE SHAREHOLDER
BLOOM, MICHAEL SCOTTDIRECTOR & SECRETARY5200070
CAREY, ELIZABETHCHIEF COMPLIANCE OFFICER4889080
JOSEPH, JAMESFINANCIAL AND OPERATIONS PRINCIPAL6576566
LAKE, COLIN CPRESIDENT AND DIRECTOR2717313
WANG, FANG LINDADIRECTOR7675208

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

CLARENDON INSURANCE AGENCY, INC.

CRD#: 7395Waltham, MA 02451

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