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Benjamin S Simon

Morgan Stanley & Co. LLC

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About Benjamin S Simon

Benjamin Simon is a financial advisor with over five years of experience in the financial services industry. Benjamin currently works at Morgan Stanley & Co. LLC, where he is registered with the firm and has a Broker-Dealer (BC) scope of practice. Previously, Benjamin worked at Morgan Stanley and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Benjamin has Series 7, Series 66, and SIE licenses. Benjamin has passed the Uniform Combined State Law Examination. Benjamin holds registrations in all 50 states and the District of Columbia.

Firm Information

Benjamin Simon is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Benjamin Simon’s Registration & Firm History

CA

06/20/2024 - Present

Morgan Stanley & Co. LLC (San Francisco CA)

NY

06/22/2022 - 06/20/2024

MORGAN STANLEY (New York NY)

NY

11/19/2019 - 06/13/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

05/15/2019 - 10/28/2019

AXA ADVISORS, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/11/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/15/2019

Series 7TO - General Securities Representative Examination

BC

Issued 04/04/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Benjamin S Simon.
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