Larry L. Simmons
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Larry Lloyd Simmons, who also goes by Lary Lloyd Simmons, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1983. Larry had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2011 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 19, 2011 - December 31, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 27, 2009 - December 20, 2011
CENTAURUS FINANCIAL, INC.
August 20, 2009 - December 20, 2011
CENTAURUS FINANCIAL, INC.
June 9, 2004 - August 24, 2009
WFG INVESTMENTS, INC.
March 26, 2004 - August 4, 2009
CENTURY ADVISORS, LLC
October 11, 2000 - June 10, 2004
SPELMAN & CO., INC.
August 25, 2000 - June 10, 2004
SPELMAN & CO., INC.
March 12, 1987 - September 9, 1992
PAS, INC.
June 3, 1986 - February 27, 1987
GLOBAL INVESTOR SECURITIES, INC.
December 24, 1984 - May 20, 1986
METRO SECURITIES, INC.
July 24, 1984 - July 21, 1986
MSZ SECURITIES,INC.
July 11, 1984 - August 9, 1985
SUNMARK INVESTMENTS AND SECURITIES, INC.
March 2, 1983 - June 30, 1986
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
