Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Edward Mogg is a registered investment advisor representative with Citigroup Global Markets Inc., located in New York, NY. Simon Edward Mogg has been in the industry since 2010 and is registered in 53 states and Washington D.C. for both securities and investment advisory services. Simon Edward Mogg has passed the Series 7, 7TO, 31, 55, 63, and 66 exams. Before joining Citigroup Global Markets Inc., Simon Edward Mogg worked at Elevation, LLC, TEJAS SECURITIES GROUP, INC., and Barclays Capital Inc. Simon Edward Mogg specializes in asset allocation advice, financial planning, pension consulting, selection of other advisors, portfolio management for individuals and businesses, and publication of periodicals.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
09/20/2022 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
11/08/2011 - 05/02/2013
TEJAS SECURITIES GROUP, INC. (NEW YORK NY)
NY
08/16/2010 - 11/29/2011
ELEVATION, LLC (NEW YORK NY)
NY
10/19/2004 - 04/25/2007
BARCLAYS CAPITAL INC. (NEW YORK NY)
BOTH
Issued 09/20/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2022
Series 31 - Futures Managed Funds Examination
BC
Issued 08/31/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/19/2022
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/12/2010
Series 7 - General Securities Representative Examination
Active
Inactive
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
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
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