Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Gutman is a financial advisor with Barclays Capital Inc., based in San Francisco, California. Simon has over 10 years of experience in the financial industry, specializing in municipal securities. Simon holds FINRA Series 63, SIE, and Series 52 licenses, and is registered with the Securities and Exchange Commission (SEC) and 52 states and territories.
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.
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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2
CA
12/24/2013 - Present
Barclays Capital Inc. (SAN FRANCISCO CA)
BC
Issued 11/25/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2009
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE National, Inc.
N
New York Stock Exchange
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