Katherine A. Simmonds
Professional summary
Katherine Ann Simmonds, CFP®, who also goes by Katherine A Simmonds, is a registered financial advisor currently at CONQUIS FINANCIAL LLC located in Millbrae, California.
Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Katherine has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Ann Simmonds's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2002
Experience
May 19, 2022 - Present
CONQUIS FINANCIAL LLC
Office #1: 1 La Cruz Avenue, Suite 202, Millbrae, CA 94030March 1, 2022 - July 5, 2022
MARINER INDEPENDENT
December 22, 2016 - March 30, 2022
ADVICEPERIOD, LLC
June 6, 2007 - December 27, 2016
STANFORD INVESTMENT GROUP, INC.
August 29, 2001 - November 28, 2007
BROUWER & JANACHOWSKI INCORPORATED
February 21, 1991 - September 18, 2001
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
CONQUIS FINANCIAL LLC
CRD#: 319579 / SEC#: 801-123701
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/19/2022)
Exams
Series 62
Date: 10/22/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
CONQUIS FINANCIAL LLC
CRD#: 319579 / SEC#: 801-123701
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 211 |
| AUM (Assets Under Management) | $ 220,722,251 |
Red Flags
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