Laurie K. Simons

STRATEGICOME GROUP LLC

Chandler, AZ 85224

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CRD#: 2320697

Professional summary

Laurie Kay Simons, CFP®, who also goes by Laurie Kay Warrington, is a registered financial advisor currently at STRATEGIC INCOME GROUP LLC located in Chandler, Arizona.

Laurie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Laurie has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?

Estate Planning

Insurance Planning

Tax Planning

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Laurie Kay Warrington

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie Kay Simons'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

November 8, 2019 - Present

STRATEGIC INCOME GROUP LLC

Office #1: 2330 W Ray Road #3, Chandler, AZ 85224

RIA

CRD#: 165839

Chandler, AZ

Past

February 4, 2019 - October 28, 2019

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

June 19, 2015 - December 3, 2018

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

SCOTTSDALE, AZ

Past

October 3, 2013 - April 13, 2015

SII INVESTMENTS, INC.

RIA

CRD#: 2225

SCOTTSDALE, AZ

Past

September 25, 2013 - April 13, 2015

SII INVESTMENTS, INC.

CRD#: 2225

SCOTTSDALE, AZ

Past

April 26, 2011 - February 20, 2013

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

October 11, 2010 - February 20, 2013

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

January 29, 2009 - September 24, 2010

CINCINNATI ANALYSTS, INC.

CRD#: 5478

SCOTTSDALE, AZ

Past

July 5, 2006 - January 15, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

SCOTTSDALE, AZ

Past

January 5, 2000 - June 8, 2006

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

SCOTTSDALE, AZ

Past

November 26, 1997 - June 8, 2006

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 19, 1993 - September 9, 1997

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

STRATEGIC INCOME GROUP LLC

CRD#: 165839 / SEC#: 801-108752

RIA

Registered Investment Advisory firm - (12/12/2016 Approved)

Arizona

Registered Investment Advisory firm - (12/23/2016 Terminated)

California

Registered Investment Advisory firm - (1/22/2017 Terminated)

Colorado

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (12/23/2016 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
(11/8/2019)

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

Series 63

Date: 2/14/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/8/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/4/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/13/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/14/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/10/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

STRATEGIC INCOME GROUP LLC

CRD#: 165839 / SEC#: 801-108752

RIA

Registered Investment Advisory firm - (12/12/2016 Approved)

Arizona

Registered Investment Advisory firm - (12/23/2016 Terminated)

California

Registered Investment Advisory firm - (1/22/2017 Terminated)

Colorado

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (12/23/2016 Terminated)

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Contact information

Main Address

2330 W. Ray Road Suite 3, Chandler, AZ 85224

Mailing Address

Phone number

(480) 466-7070

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIG - ADV PART 2A FIRM BROCHURE (7/7/2025)

Regulatory assets under management

Total Number of Accounts	1,165
AUM (Assets Under Management)	$ 354,914,578

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/17/2024	Cover Page	Report
01/24/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Laurie K. Simons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie Kay Simons's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

FOUNDATIONS INVESTMENT ADVISORS LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

CINCINNATI ANALYSTS, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

STRATEGIC INCOME GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/14/2019

Series 65

Date: 4/8/2011

Series 7TO

Date: 2/4/2019

SIE

Date: 4/13/2015

Series 7

Date: 8/27/1993

Series 6

Date: 2/16/1993

Series 24

Date: 5/9/2000

Series 10

Date: 4/14/2000

Series 9

Date: 4/10/2000

Current Firm

STRATEGIC INCOME GROUP LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC INCOME GROUP LLC

TRUST BUT VERIFY

Contact information

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