Individual Firm
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JAMES BERNARD SIMON
JAMES SIMON
CRD#: 1816227
IA
B
CITIZENS SECURITIES, INC.CRD#: 39550 780 SOUTH VALLEY FORGE ROAD
MAILSTOP: 19B-6489
LANSDALE, PA 19446
MAILSTOP: 19B-6489
LANSDALE, PA 19446
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3/7/2003
Customer Dispute
Denied
State Registrations
B
California 4/23/2020
IA
North Carolina 9/19/2016
IA
California 4/24/2020
B
Ohio 1/18/2021
B
Delaware 12/5/2022
IA
Ohio 1/18/2021
IA
Delaware 12/5/2022
B
Pennsylvania 2/24/2014
B
Florida 5/9/2014
IA
Pennsylvania 2/24/2014
IA
Florida 8/13/2015
IA
Texas 4/9/2024
B
New Jersey 3/6/2014
B
Texas 4/10/2024
IA
New Jersey 9/11/2015
B
Virginia 9/5/2024
B
North Carolina 5/2/2014
IA
Virginia 9/5/2024
SRO Registrations
B
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IA
Registered with this firm since 2/24/2014
B
Registered with this firm since 2/24/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2010 - 02/24/2014 | ABINGTON, PA | |
B | 01/05/2009 - 02/24/2014 | ABINGTON, PA | |
B | 07/31/1993 - 01/21/2009 | WEST CONSHOHOCKEN, PA | |
B | 01/11/1993 - 07/31/1993 | NEW YORK, NY | |
B | 09/13/1988 - 01/27/1993 | NEW YORK, NY | |
B | 05/24/1988 - 06/09/1988 | ||
B | 04/20/1988 - 05/31/1988 |
05/24/1988 - 06/09/1988
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.