Kenneth Edwin Simon

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-12-03
TX	RA	APPROVED_RES	2025-12-03

FL RA
APPROVED

Since 2025-12-03
TX RA
APPROVED_RES

Since 2025-12-03

Branch Locations

Naples, FL • United States

125 High St Ste 1359A, Boston, MA 02110 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Braintree	MA	12/2007	12/2025
Wells Fargo Clearing Services, Llc.	Boston	MA	12/2025	Present

12/2007 → 12/2025

Ubs Financial Services Inc

Braintree, MA
12/2025 → Present

Wells Fargo Clearing Services, Llc.

Boston, MA

Previous Registrations

2008-04-21 → 2025-12-12

Ubs Financial Services Inc.

Rockland, MA

Naples, FL

Norwell, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-06-10
S63	Uniform Securities Agent State Law Examination	1984-02-03

S65 Uniform Investment Adviser Law Examination

2008-06-10
S63 Uniform Securities Agent State Law Examination

1984-02-03