Alfred W. Simoneau

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CRD#: 840663

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.

Alfred Wilfred Simoneau, who also goes by Al Simoneau, was a registered financial professional .

Alfred is a previously registered financial professional and started their career in finance in 1977. Alfred had worked at 11 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Al Simoneau

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 2, 1994 - December 31, 1999

THOS. K. WASSERMAN & ASSOCIATES, INC.

CRD#: 27826

BOYNTON BEACH, FL

Past

January 4, 1990 - May 26, 1995

FIRST LAUDERDALE SECURITIES, INC.

CRD#: 13909

Past

June 28, 1989 - December 31, 1989

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

May 3, 1989 - July 3, 1989

FIRST LAUDERDALE SECURITIES, INC.

CRD#: 13909

Past

April 13, 1989 - January 24, 1990

BISCAYNE SECURITIES CORPORATION

CRD#: 17764

Past

August 16, 1988 - July 3, 1989

FIRST LAUDERDALE SECURITIES, INC.

CRD#: 13909

Past

March 1, 1988 - June 25, 1988

TRANSCO SECURITIES

CRD#: 15966

Past

June 26, 1987 - March 22, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

August 30, 1984 - June 3, 1987

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

Past

June 24, 1980 - June 26, 1984

FIRST FLORIDA SECURITIES, INC.

CRD#: 3892

Past

September 19, 1979 - July 18, 1980

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

March 27, 1978 - October 10, 1979

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 26, 1977 - March 2, 1978

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

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

State Security Law Exam

Series 63

Date: 12/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1977

General Securities Representative Examination

Current Firm

THOS. K. WASSERMAN & ASSOCIATES, INC.

THOMAS K. WASSERMAN & CO. | THOS. K. WASSERMAN & ASSOCIATES, INC.

CRD#: 27826 / SEC#: , 8-43218

Terminated by SEC on 02/21/2000

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 12/01/1992

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WASSERMAN, THOMAS KENNETH	PRESIDENT	459659
MAAG, JOHN PHILIP	EXECUTIVE OFFICER	2077922
URQUHART, FRANK PATRICK	VP ADMINISTRATION	2273136
WASSERMAN, SCOTT BRADLEY SR	VP COMPLIANCE	1779320

Disclosures

Regulatory Event	1
Arbitration	3

Red Flags

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Alfred W. Simoneau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST LAUDERDALE SECURITIES, INC.

THE INVESTMENT CENTER, INC.

FIRST LAUDERDALE SECURITIES, INC.

BISCAYNE SECURITIES CORPORATION

FIRST LAUDERDALE SECURITIES, INC.

TRANSCO SECURITIES

MORGAN STANLEY DW INC.

FAHNESTOCK INTERNATIONAL INC.

FIRST FLORIDA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E. F. HUTTON & COMPANY INC

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/1983

Series 7

Date: 7/16/1977

Current Firm

THOS. K. WASSERMAN & ASSOCIATES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THOS. K. WASSERMAN & ASSOCIATES, INC.

TRUST BUT VERIFY

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