Elliot S. Simon
Professional summary
Elliot Seth Simon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Elliot is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Elliot had worked at 5 firms, which includes CULLUM & BURKS SECURITIES INC., GROVE POINT INVESTMENTS LLC, SOURCE SECURITIES INC., SECURITIES NETWORK INC., OSAIC FS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2000 - March 26, 2004
CULLUM & BURKS SECURITIES, INC.
January 19, 1989 - April 25, 2000
GROVE POINT INVESTMENTS, LLC
March 15, 1988 - January 25, 1989
SOURCE SECURITIES, INC.
February 16, 1988 - May 18, 1988
SECURITIES NETWORK, INC.
November 17, 1977 - March 15, 1988
OSAIC FS, INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 6/8/1998
Corporate Securities Limited Representative ExaminationSeries 1
Date: 11/12/1977
Registered Representative ExaminationCurrent Firm
CULLUM & BURKS SECURITIES, INC.
CRD#: 46600 / SEC#: , 8-51487
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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