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MICHAEL SIMON
MICHAEL SCOTT SIMON
CRD#: 2369509
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 711 E HENDERSON AVE
TAMPA, FL 33602
CETERA INVESTMENT SERVICES LLCCRD#: 15340 711 E HENDERSON AVENUE
TAMPA, FL 33602
Registration History
19952000200520102015202020252 FIRMS2017 - 2019 (1 year)2 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)BLPL FINANCIAL LLC (CRD# 6413)2008 - 2016 (8 years)BIFMG SECURITIES, INC. (CRD# 14416)2007 - 2008 (1 year)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2006 - 2007 (<1 year)BIFMG SECURITIES, INC. (CRD# 14416)2004 - 2006 (1 year)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2003 - 2004 (<1 year)BOHIO SAVINGS SECURITIES, INC. (CRD# 13945)2003 - 2003 (<1 year)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2000 - 2003 (2 years)BWM FINANCIAL SERVICES, INC. (CRD# 599)1998 - 1998 (<1 year)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1994 - 1998 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1993 - 1994 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2010 - 2016 (6 years)
Disclosure(s)
View By:
7/9/2021
Customer Dispute
Settled
License(s)

State Registrations

B
Florida 4/29/2021

B
Georgia 1/6/2023

IA
Florida 5/19/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
711 E HENDERSON AVE, TAMPA, FL 33602
Registered with this firm since 5/19/2021

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
711 E HENDERSON AVENUE, TAMPA, FL 33602
Registered with this firm since 4/29/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/09/2020 - 04/08/2021 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) BRANDON, FL
B
06/12/2020 - 04/08/2021 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) BRANDON, FL
IA
03/15/2019 - 06/05/2020 HSBC SECURITIES (USA) INC. (CRD#:19585) WELLINGTON, FL
B
03/14/2019 - 06/05/2020 HSBC SECURITIES (USA) INC. (CRD#:19585) WELLINGTON, FL
IA
09/19/2017 - 02/04/2019 AXA ADVISORS, LLC (CRD#:6627) FT. LAUDERDALE, FL
B
09/18/2017 - 02/04/2019 AXA ADVISORS, LLC (CRD#:6627) FT. LAUDERDALE, FL
IA
04/26/2010 - 12/08/2016 LPL FINANCIAL LLC (CRD#:6413) CORAL SPRINGS, FL
B
03/04/2008 - 12/08/2016 LPL FINANCIAL LLC (CRD#:6413) CORAL SPRINGS, FL
B
02/23/2007 - 03/04/2008 IFMG SECURITIES, INC. (CRD#:14416) DAVIE, FL
B
08/29/2006 - 02/26/2007 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) MIAMI SPRINGS, FL
B
05/14/2004 - 01/13/2006 IFMG SECURITIES, INC. (CRD#:14416) PURCHASE, NY
B
08/08/2003 - 04/30/2004 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
01/03/2003 - 07/07/2003 OHIO SAVINGS SECURITIES, INC. (CRD#:13945) CLEVELAND, OH
B
03/27/2000 - 01/13/2003 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
05/01/1998 - 08/21/1998 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
10/12/1994 - 05/01/1998 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
07/20/1993 - 08/19/1994 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.