Richard S. Simms
Professional summary
Richard Shepard Simms, who also goes by Richard Sheppard Simms, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Englewood, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Richard has worked at 2 firms and has passed the Series 66, Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Shepard Simms's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2 Inverness Dr East Ste 187, Englewood, CO 80112April 29, 1988 - August 24, 1990
TRUSTAMERICA SECURITIES COMPANY
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/15/2022)
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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