Sonya A. 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.
Sonya Ann Simmons, who also goes by Sonya Simmons, Sonya A Simmons-peterson, was a registered financial professional .
Sonya is a previously registered financial professional and started their career in finance in 1986. Sonya had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2016 - December 15, 2016
CONCERT WEALTH MANAGEMENT
April 17, 2009 - February 28, 2014
RBC CAPITAL MARKETS, LLC
April 17, 2009 - February 28, 2014
RBC CAPITAL MARKETS, LLC
October 24, 1996 - April 27, 2009
WELLS FARGO INVESTMENTS, LLC
January 28, 1991 - April 27, 2009
WELLS FARGO INVESTMENTS, LLC
June 16, 1989 - February 14, 1991
LEHMAN BROTHERS INC.
December 26, 1986 - June 27, 1989
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
CONCERT WEALTH MANAGEMENT
CRD#: 141253 / SEC#: 801-67992
Contact information
Red Flags
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