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SANDY ARTHUR SIMON
CRD#: 842443
IA
B
MORGAN STANLEYCRD#: 149777 595 South Federal Highway
Suite 400
Boca Raton, FL 33432
Suite 400
Boca Raton, FL 33432
0
Disclosures
47
Years of Experience
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State Registrations
B
California 10/3/2017
B
Kentucky 1/29/2021
B
Colorado 3/20/2017
B
Massachusetts 6/1/2009
B
Connecticut 6/1/2009
B
New Jersey 6/1/2009
B
Delaware 6/1/2009
B
New York 6/1/2009
B
District of Columbia 6/8/2017
B
North Carolina 9/26/2013
B
Florida 6/1/2009
B
Oregon 3/18/2021
IA
Florida 6/1/2009
B
Virginia 6/1/2009
B
Georgia 6/1/2009
B
Washington 3/28/2016
B
Hawaii 6/3/2016
B
Wisconsin 6/1/2009
B
Illinois 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/21/1992 - 06/01/2009 | BOCA RATON, FL | |
B | 09/21/1992 - 06/01/2009 | BOCA RATON, FL | |
B | 06/12/1979 - 08/03/1999 | NEW YORK, NY | |
B | 10/24/1978 - 07/13/1979 | ||
B | 09/01/1977 - 11/09/1978 |
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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.