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Detailed Report
Kenneth Simon
KEN SIMON, KENNETH FRANKIN SIMON, Kenneth F Simon, Kenneth Franklin Simon
CRD#: 1357922
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 285 MAIN MALL
POUGHKEEPSIE, NY 12601
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2022 - Present (3 years)BKEY INVESTMENT SERVICES LLC (CRD# 136300)2017 - 2021 (3 years)BEDWARD JONES (CRD# 250)2016 - 2017 (<1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2014 - 2016 (2 years)IAKEY INVESTMENT SERVICES LLC (CRD# 136300)2021 - 2021 (<1 year)IAEDWARD JONES (CRD# 250)2017 - 2017 (<1 year)
License(s)

State Registrations

B
Arizona 1/27/2022
IA
New York 1/10/2022
B
California 1/27/2022
B
North Carolina 1/27/2022
B
Colorado 2/25/2022
B
North Dakota 1/27/2022
B
Connecticut 1/10/2022
B
Ohio 1/28/2022
B
Delaware 1/27/2022
B
Pennsylvania 1/27/2022
B
Florida 1/27/2022
B
Puerto Rico 5/24/2024
B
Georgia 1/27/2022
B
Rhode Island 1/27/2022
B
Illinois 2/25/2022
B
South Carolina 1/27/2022
B
Kentucky 5/2/2024
B
Tennessee 1/27/2022
B
Louisiana 1/27/2022
B
Texas 1/27/2022
B
Maryland 1/27/2022
IA
Texas 2/2/2022
B
Massachusetts 1/27/2022
B
Utah 2/25/2022
B
Michigan 3/9/2023
B
Vermont 2/25/2022
B
Nevada 1/27/2022
B
Virginia 1/27/2022
B
New Hampshire 2/25/2022
B
West Virginia 3/25/2022
B
New Jersey 1/10/2022
B
Wisconsin 1/27/2022
B
New York 1/10/2022

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
285 MAIN MALL, POUGHKEEPSIE, NY 12601
Registered with this firm since 1/10/2022
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
285 MAIN MALL, POUGHKEEPSIE, NY 12601
Registered with this firm since 1/10/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/26/2021 - 05/07/2021 KEY INVESTMENT SERVICES LLC (CRD#:136300) KINGSTON, NY
B
 10/11/2017 - 05/07/2021 KEY INVESTMENT SERVICES LLC (CRD#:136300) KINGSTON, NY
IA
 01/20/2017 - 06/01/2017 EDWARD JONES (CRD#:250) NEW WINDSOR, NY
B
 09/12/2016 - 06/01/2017 EDWARD JONES (CRD#:250) NEW WINDSOR, NY
B
 04/29/2014 - 09/09/2016 NYLIFE SECURITIES LLC (CRD#:5167) NEW WINDSOR, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.