Thomas C. Simmons

WT WEALTH MANAGEMENT

Scottsdale, AZ

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CRD#: 2045436

Professional summary

Thomas Clayton Simmons, who also goes by Clay Simmons, Thomas Simmons, is a registered financial advisor currently at WT WEALTH MANAGEMENT, LLC located in Scottsdale, Arizona.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clay Simmons | Thomas Simmons

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.

TCS Financial, LLC. Founded in 2009. President. 10687 E Bahia Dr, Scottsdale, AZ 85255. Until November 2023, TCS was an RIA. Advisor joined WT Wealth Management in November 2023, transitioning his financial advisory activities and deregistering TCS. 2 hours per week outside of securities trading hours related to basic entity maintenance and administration.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Clayton Simmons's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 22, 2023 - Present

WT WEALTH MANAGEMENT, LLC

RIA

CRD#: 169566

Scottsdale, AZ

Past

June 25, 2009 - December 31, 2024

TCS FINANCIAL LLC

RIA

CRD#: 149917

SCOTTSDALE, AZ

Past

October 13, 2008 - March 5, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

SCOTTSDALE, AZ

Past

March 20, 2006 - September 8, 2008

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

SCOTTSDALE, AZ

Past

April 19, 2004 - September 8, 2008

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

August 15, 2002 - January 24, 2003

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HOUSTON, TX

Past

April 6, 2001 - January 24, 2003

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 31, 1997 - April 26, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 14, 1990 - December 31, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WT WEALTH MANAGEMENT, LLC

CRD#: 169566 / SEC#: 801-112701

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/13/2018 Terminated)

California

Registered Investment Advisory firm - (12/27/2018 Terminated)

Nevada

Registered Investment Advisory firm - (1/11/2019 Terminated)

New York

Registered Investment Advisory firm - (12/13/2018 Terminated)

Washington

Registered Investment Advisory firm - (12/20/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/25/2024)

IAR

California
(11/22/2023)

IAR

Florida
(2/23/2024)

IAR

Idaho
(11/22/2023)

IAR

Texas
(11/27/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/22/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/30/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/10/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WT WEALTH MANAGEMENT, LLC

CRD#: 169566 / SEC#: 801-112701

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Arizona

Registered Investment Advisory firm - (12/13/2018 Terminated)

California

Registered Investment Advisory firm - (12/27/2018 Terminated)

Nevada

Registered Investment Advisory firm - (1/11/2019 Terminated)

New York

Registered Investment Advisory firm - (12/13/2018 Terminated)

Washington

Registered Investment Advisory firm - (12/20/2018 Terminated)

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Contact information

Main Address

20865 North 90th Place Suite 105, Scottsdale, AZ 85255

Mailing Address

Phone number

(800) 825-0616

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ANNUAL AMENDMENT BROCHURE (9/17/2025)

Regulatory assets under management

Total Number of Accounts	2,594
AUM (Assets Under Management)	$ 385,243,993

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.

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Firm Stability Insights

Thomas C. Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Clayton Simmons's CRS (Customer Relationship Summary).

Certified licenses

Experience

TCS FINANCIAL LLC

ALLSTATE FINANCIAL SERVICES, LLC

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

WT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2005

Series 63

Date: 8/11/1997

Series 31

Date: 8/22/1997

Series 7

Date: 7/30/1997

Series 6

Date: 4/10/1990

Current Firm

WT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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