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KS

Kenneth Donovan Simmons

CRD# 1609671·Registered 1987 - 1990
Previously Registered: Being a previously registered professional could mean that Kenneth 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.

Professional Summary

Kenneth Donovan Simmons was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1987 - 1990. Kenneth had worked at 4 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

WESTERN EQUITY GROUP, INC.·CRD# 20508
BD
October 18, 1988 - May 4, 1990
TEXAS SECURITIES, INC.·CRD# 7655
BD
Ft. Worth, TX
August 10, 1988 - October 4, 1988
ALLIANCE SECURITIES CORPORATION·CRD# 15468
BD
August 6, 1987 - September 11, 1987
R.C. WILLIAMS CAPITAL & SECURITIES CORP.·CRD# 19210
BD
February 27, 1987 - July 19, 1988

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Current Firm

WE
WESTERN EQUITY GROUP, INC.

WESTERN EQUITY GROUP, INC.

CRD#: 20508 / SEC#: 8-38207
BD
Cancelled by FINRA on 05/03/1990

Contact Information

Established

Texas since 05/18/1987

Firm Type

Corporation

Fiscal Year End

September

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1986About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Dec 1987About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jan 1987About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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