Elliot Seth Simon
Professional Summary
Elliot Seth Simon was a registered financial advisor. Elliot was a previously registered financial professional and started their career in finance 1977 - 2004. Elliot had worked at 5 firms and has passed the Series 63, Series 62 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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
49 years in the financial services industry
Current & Past Employments
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Current Firm
COVENANT FINANCIAL SERVICES | WEALTH MANAGEMENT GROUP | SMILEY ELMORE AND ASSOCIATES | RIGHT CHOICE FINANCIAL | MEGA CAPITAL | KNS SOLUTIONS, INC. | INSIGHT FINANCIAL GROUP | HOPPER FINANCIAL SERVICES | HLW ADVISORS | GANNETT GROUP/AIRPARK | FLEMING, OLIVER, AND ASSOCIATES | FINANCIAL DESTINY | CULLUM & BURKS SECURITIES, INC.
Contact Information
Established
Texas since 11/13/1998Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
4Civil Event
1Arbitration
3Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jun 1998Series 1 — Registered Representative Examination
Passed Nov 1977Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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