Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Lim Wolffs is a financial professional with over six years of experience in the securities industry. Simon holds a Series 7, Series 63, Series 79, and SIE license, demonstrating expertise in investment banking and general securities. Simon is currently registered with Vntr Securities LLC and holds active registrations in California, New York, and Virginia. Simon's previous experience includes working with Carta Securities, LLC.
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
07/30/2019 - Present
Vntr Securities LLC (San Francisco CA)
CA
08/02/2017 - 07/22/2019
CARTA SECURITIES, LLC (SAN FRANCISCO CA)
BC
Issued 08/29/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/02/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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