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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Alexander is an active registered investment advisor representative (IAR) with Morgan Stanley, having joined the firm in September 2024. Simon also has prior experience as an IAR, having worked at CITIGROUP GLOBAL MARKETS INC. from May 2000 to June 2007, and Prudential Securities Incorporated from May 1999 to May 2000. Simon holds a Series 65 and 63 license and is registered in 25 states for both broker-dealer and investment advisor activities. Simon has over 40 years of experience in the financial industry and has held numerous securities licenses, including Series 3, 4, 5, 7, 9, 10, 12, 15, 24, and 53. Simon provides a wide range of advisory services, including financial planning, portfolio management, pension consulting, and educational seminars.
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
NY
09/06/2024 - Present
Morgan Stanley (Jericho NY)
NY
05/19/2000 - 06/05/2007
CITIGROUP GLOBAL MARKETS INC. (REGO PARK NY)
NY
05/06/1999 - 05/23/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/18/1981 - 11/17/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 03/01/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/01/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/17/1982
Series 4 - Registered Options Principal Examination
BC
Issued 08/16/1982
Series 24 - General Securities Principal Examination
BC
Issued 07/18/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 11/19/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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