Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandy? Claim Your ProfileSandy Arthur Simon is an investment advisor representative with Morgan Stanley. Sandy has been in the financial industry since 1977. Sandy is registered to provide investment advisory services in 19 states and is currently registered with Morgan Stanley in Florida. Sandy also holds Series 3, 5, 7, and 63 licenses. Prior to joining Morgan Stanley, Sandy was an investment advisor representative for Citigroup Global Markets Inc. from September 1992 to June 2009. Sandy has a long history in the financial services industry and has worked with both individuals and institutions. Sandy is committed to providing clients with personalized financial advice and helping them reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
06/01/2009 - Present
Morgan Stanley (Boca Raton FL)
FL
09/21/1992 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOCA RATON FL)
NY
06/12/1979 - 08/03/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/24/1978 - 07/13/1979
LOEB PARTNERS
NA
09/01/1977 - 11/09/1978
HANAUER, STERN & CO.
BC
Issued 07/10/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/1987
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/20/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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