Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Mooney is an active financial advisor who has been in the industry since 2009. Currently, Simon is registered with Wells Fargo Clearing Services, LLC and has been with them since 2019. Simon has been with Northwestern Mutual Investment Services, LLC and TD Ameritrade, Inc. in the past. Simon has a Series 6, 7, 63, and 66 license and has passed the SIE exam. Simon specializes in Retirement Planning, College Savings Plans, Asset Allocation, Mutual Funds, and Annuities.
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.
Investment consulting services to institutional clients
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.
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2
MA
07/17/2019 - Present
Wells Fargo Clearing Services, LLC (WORCESTER MA)
MA
07/05/2018 - 04/18/2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (BOSTON MA)
MA
04/21/2006 - 10/31/2007
TD AMERITRADE, INC. (BURLINGTON MA)
RI
12/10/2004 - 07/26/2005
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
MA
10/13/1998 - 11/05/2003
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
RI
04/11/1996 - 07/07/1998
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
BC
Issued 04/02/2018
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/05/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/2018
Series 7 - General Securities Representative Examination
BC
Issued 04/08/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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