Mitchell F. 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.
Mitchell Forrest Simmons JR, who also goes by Forrest Simmons Jr, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1983. Mitchell had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 5, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - April 11, 2022
KEEL POINT, LLC
January 2, 2015 - April 11, 2022
KEEL POINT CAPITAL, LLC
November 4, 2011 - December 31, 2014
KEEL POINT ADVISORS, LLC
September 28, 2011 - December 31, 2014
WFG INVESTMENTS, INC.
November 19, 2010 - September 14, 2011
BARCLAYS CAPITAL INC.
September 7, 2010 - September 14, 2011
BARCLAYS CAPITAL INC.
July 1, 2010 - September 8, 2010
BNY MELLON SECURITIES CORPORATION
June 5, 2008 - October 28, 2008
BNY MELLON SECURITIES CORPORATION
May 31, 2000 - May 23, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 15, 1993 - June 12, 2000
J.C. BRADFORD & CO.
October 14, 1988 - October 15, 1993
A. G. EDWARDS & SONS, INC.
June 25, 1985 - November 5, 1988
CITIGROUP GLOBAL MARKETS INC.
December 21, 1983 - June 29, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
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
Series 5
Date: 12/14/1983
Interest Rate Options ExaminationSeries 8
Date: 1/31/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
