Kathy G. Simons
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathy Gwen Simons was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1975. Kathy had worked at 13 firms and has passed the F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1989 - September 3, 1997
DEUTSCHE IXE, LLC
June 28, 1988 - March 2, 1989
SECURITIES USA, INC.
July 9, 1987 - May 23, 1988
ROYCE PARK INVESTMENTS, INC.
August 8, 1986 - June 24, 1987
THE STUART-JAMES COMPANY, INCORPORATED
May 16, 1985 - January 9, 1986
SECURITIES USA, INC.
December 15, 1983 - March 21, 1985
TRI-BRADLEY INVESTMENTS
October 17, 1983 - December 20, 1983
BLINDER, ROBINSON & CO., INC.
April 13, 1981 - October 4, 1983
CENTENNIAL STATE SECURITIES, INC.
December 17, 1980 - May 16, 1981
OTC NET INCORPORATED
May 2, 1980 - October 31, 1980
HACKERT/MODESITT INVESTMENTS, LTD.
November 28, 1977 - December 30, 1980
PHILLIPS CAPITAL
November 10, 1977 - August 20, 1986
SECURITY TRADERS, INC.
October 1, 1977 - March 29, 1978
WALL STREET WEST, INC.
December 17, 1975 - January 30, 1978
TOWER SQUARE SECURITIES, INC.
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
F04
Date: 12/12/1975
Financial Principal ExaminationSeries 00
Date: 12/12/1975
General Securities Principal ExaminationCurrent Firm
DEUTSCHE IXE, LLC
CRD#: 7172 / SEC#: , 8-13967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IXE SECURITIES, INC. | MEMBER | |
| NDB CAPITAL MARKETS CORPORATION | MEMBER | |
| DE SAN, PATRICK | CHIEF COMPLIANCE OFFICER | 2371051 |
| DE SAN, PATRICK | CHIEF FINANCIAL OFFICER/FINOP | 2371051 |
| DERHALLI, KERIM RICHARD | MANAGER | 2187407 |
| HOPE, RUPERT DICKIE | MANAGER | 2598323 |
| HORCASITAS, JAVIER MOLINAR | MANAGER | 4678281 |
| NARANJO, MAURICIO | MANAGER | 5070130 |
| PONS, JOSE IGNACIO DE ABIEGA | MANAGER | 4678290 |
| SANCHEZ-MEJORADA, ENRIQUE CASTILLO | MANAGER | 4678285 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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