Individual Firm
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Michael Leon Simpson
MICHAEL L SIMPSON, MIKE SIMPSON
CRD#: 4189224
IA
B
EDWARD JONESCRD#: 250 3288 ROBINHOOD RD SUITE 104
WINSTON SALEM, NC 27106
WINSTON SALEM, NC 27106
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6/21/2006
Customer Dispute
Settled
State Registrations
B
California 7/28/2023
B
North Carolina 7/2/2009
B
Colorado 5/6/2021
IA
North Carolina 7/8/2009
B
Florida 7/2/2009
B
South Carolina 10/1/2009
B
Illinois 8/4/2015
B
Tennessee 7/13/2020
B
Kansas 10/25/2021
B
Texas 3/25/2019
B
Kentucky 11/27/2019
IA
Texas 3/28/2019
B
Massachusetts 1/16/2014
B
Virginia 7/2/2009
B
Michigan 8/4/2016
B
West Virginia 8/15/2023
B
New York 6/28/2023
B
Wyoming 5/5/2021
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/8/2009
B
Registered with this firm since 7/2/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 07/08/2009 | WINSTON-SALEM, NC | |
B | 06/01/2009 - 07/08/2009 | WINSTON-SALEM, NC | |
IA | 04/02/2007 - 06/01/2009 | WINSTON-SALEM, NC | |
B | 04/02/2007 - 06/01/2009 | WINSTON-SALEM, NC | |
IA | 12/31/2001 - 04/02/2007 | WINSTON-SALEM, NC | |
B | 07/12/2000 - 04/02/2007 | WINSTON-SALEM, NC |
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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.