MS
MS
Michael Simon
29 Years of Experience
Tampa, FL
1 DisclosureBroker
Michael Simon is a registered investment advisor at Cetera Investment Advisers LLC, based in Tampa, FL, with 29 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
711 E Henderson Ave, Tampa, FL, 33602
Get directionsHistory
Regulatory History (1)
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Customer Dispute
July 2021Settled
Other Business Activities
Michael is an investment program manager at GTE Investment Group. This activity is investment-related.
Employment History
Current Registrations
Cetera Investment Advisers LLC
May 2021 - Present · 5 yrs 2 mos
Cetera Investment Services LLCBroker
April 2021 - Present · 5 yrs 3 mos
Previous Registrations
CUNA Brokerage Services, INC.
July 2020 - April 2021 · 9 mos
CUNA Brokerage Services, INC.Broker
June 2020 - April 2021 · 10 mos
Hsbc Securities (USA) INC.
March 2019 - June 2020 · 1 yr 3 mos
Hsbc Securities (USA) INC.Broker
March 2019 - June 2020 · 1 yr 3 mos
AXA Advisors, LLC
September 2017 - February 2019 · 1 yr 5 mos
AXA Advisors, LLCBroker
September 2017 - February 2019 · 1 yr 5 mos
LPL Financial LLC
April 2010 - December 2016 · 6 yrs 8 mos
LPL Financial LLCBroker
March 2008 - December 2016 · 8 yrs 9 mos
Ifmg Securities, INC.Broker
February 2007 - March 2008 · 1 yr 1 mo
CUNA Brokerage Services, INC.Broker
August 2006 - February 2007 · 6 mos
Ifmg Securities, INC.Broker
May 2004 - January 2006 · 1 yr 8 mos
Essex National Securities, INC.Broker
August 2003 - April 2004 · 8 mos
Ohio Savings Securities, INC.Broker
January 2003 - July 2003 · 6 mos
Essex National Securities, INC.Broker
March 2000 - January 2003 · 2 yrs 10 mos
Wm Financial Services, INC.Broker
May 1998 - August 1998 · 3 mos
Great Western Financial Securities CorporationBroker
October 1994 - May 1998 · 3 yrs 7 mos
Dean Witter Reynolds INC.Broker
July 1993 - August 1994 · 1 yr 1 mo
State Registrations2 states
FLGA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.