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Information

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Type: Dual Registration
Description

Simon Amich is a financial professional at Northeast Securities, Inc., a broker-dealer with 189 registered representatives nationwide. Simon is also registered with Northeast Asset Management, Inc., a $218M RIA based in MITCHEL FIELD, NY. Simon has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Simon Enrique Amich has not answered any questions on Financial Q&A.

Top Guides

Simon Enrique Amich has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Northeast Securities, Inc. 1 year, 3 months Jan 2013 - Present
Northeast Securities, Inc. 1 year, 1 month May 2011 - Jun 2012
Andbanc Advisory LLC 1 year, 7 months Nov 2010 - Jun 2012
Andbanc Brokerage, LLC 1 year, 7 months Nov 2010 - Jun 2012
Sea Capital Partners LLC 3 years, 6 months Oct 2010 - Present
Atlas One Financial Group, LLC 1 year Sep 2009 - Sep 2010
Sea Capital Advisors LLC 4 months May 2009 - Sep 2009
Sea Capital Partners LLC 1 year, 5 months Mar 2008 - Aug 2009
American Express International Securities, Inc. 7 months Jul 2007 - Feb 2008
American Express Bank International 5 years, 8 months Jun 2002 - Feb 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 02/15/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
02/15/2013
09/19/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Registered Options Principal Examination Series 4 03/16/2011
Uniform Investment Adviser Law Examination Series 65 08/06/2009
General Securities Principal Examination Series 24 11/27/2000
National Commodity Futures Examination Series 3 08/02/2000
Uniform Securities Agent State Law Examination Series 63 03/24/2000
General Securities Sales Supervisor - General Module Examination Series 10 01/19/2000
General Securities Sales Supervisor - Options Module Examination Series 9 01/18/2000
General Securities Representative Examination Series 7 12/09/1999

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions