Tony 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.
Tony Simmons, who also goes by Ottis Ray Simmons, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1986. Tony had worked at 8 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
June 2, 2010 - October 2, 2019
SYMPHONIC FINANCIAL ADVISORS LLC
June 2, 2010 - October 2, 2019
SYMPHONIC SECURITIES LLC
August 1, 2008 - June 8, 2010
NATIONWIDE SECURITIES, LLC
August 1, 2008 - June 8, 2010
NATIONWIDE SECURITIES, LLC
October 29, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
April 24, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
March 1, 2007 - May 1, 2007
PRINCIPAL SECURITIES, INC.
May 24, 2000 - March 8, 2007
1717 CAPITAL MANAGEMENT COMPANY
April 24, 2000 - March 8, 2007
1717 CAPITAL MANAGEMENT COMPANY
January 16, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 16, 1997 - May 31, 2000
SIGNATOR INVESTORS, INC.
June 16, 1986 - December 20, 1996
MML INVESTORS SERVICES, LLC
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
SYMPHONIC FINANCIAL ADVISORS LLC
CRD#: 135603 / SEC#: 801-64456
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,234 |
| AUM (Assets Under Management) | $ 125,189,685 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 09/28/2022 | ||
| 11/29/2021 |
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.
