RS
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Richard Siminou
17 Years of Experience
New York, NY
5 DisclosuresBrokerSells Insurance
Richard Siminou is a registered investment advisor, based in New York, NY, with 17 years of industry experience.
Location
17 Battery Pl, Suite 625, New York, NY, 10004
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Regulatory History (5)
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Regulatory
September 2023Final
Customer Dispute
August 2023Settled
Regulatory
August 2023Final
Customer Dispute
May 2023Settled
Customer Dispute
November 2016Closed-No Action
Other Business ActivitiesSells Insurance
Richard is a licensed insurance agent for life and annuity products, but currently generates no business from it. He also owns Siminou Wealth Management, an RIA business, dedicating nearly full-time hours to it.
Employment History
Current Registrations
Kingswood Capital Partners, LLCBroker
February 2024 - Present · 2 yrs 5 mos
Kingswood Wealth Advisors, LLC
June 2021 - Present · 5 yrs 1 mo
Previous Registrations
Benchmark Advisory Services, LLC
June 2021 - July 2022 · 1 yr 1 mo
Kingswood Capital Partners, LLCBroker
March 2021 - September 2023 · 2 yrs 6 mos
Kingswood Capital Partners, LLCBroker
October 2020 - November 2020 · 1 mo
Cape Securities INC.Broker
March 2019 - April 2021 · 2 yrs 1 mo
Benchmark Investments, LLCBroker
February 2019 - July 2023 · 4 yrs 5 mos
Newbridge Securities CorporationBroker
November 2008 - February 2019 · 10 yrs 3 mos
State Registrations10 states
ARAZCACOCTGAIANCNYTX
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.