Unclaimed Profile

Scott Jay Race

SIMON FINANCIAL GROUP, INC.·BALA CYNWYD, Pennsylvania

Series 6, Series 7, Series 63, Series 65Clean record23 years registeredSIMON FINANCIAL GROUP, INC.

ONE BALA PLAZA, BALA CYNWYD, PA 19004CRD# 4167187Firm CRD# 132581

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Scott Jay Race · BALA CYNWYD, PA

Registration

CRD #4167187 · SIMON FINANCIAL GROUP, INC. · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SIMON FINANCIAL GROUP, INC.

SIMON CAPITAL MANAGEMENT

Dec 2005 – Dec 2017

BALA CYNWYD, PA

AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

Jul 2003 – Nov 2004

W. CONSHOHOCKEN, PA

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 63

Series 65

Registration record

First registered · July 21, 2003

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SIMON FINANCIAL GROUP, INC.

CRD 132581 · SEC 801-71503

AUM

$36M

Regulatory assets under management

Employees

262 client accounts

Services offered by SIMON FINANCIAL GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at SIMON FINANCIAL GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does Scott Jay Race offer?

Scott Jay Race specializes in Financial Planning, Investment Management.

What are Scott Jay Race's credentials?

Scott Jay Race is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Scott Jay Race located?

Scott Jay Race is based in BALA CYNWYD, Pennsylvania, last registered with SIMON FINANCIAL GROUP, INC..

How does Scott Jay Race charge for services?

Scott Jay Race's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SIMON FINANCIAL GROUP, INC.?

SIMON FINANCIAL GROUP, INC. has approximately 5 employees and manages $36M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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