Amy Louise Simonson
Professional Summary
Amy Louise Simonson, who also goes by Amy Louise Keener, is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Durham, North Carolina. Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Amy has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 22, Series 52, Series 6, Series 39, Series 53, Series 28 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Amy Louise Keener
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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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
33 years in the financial services industry
Current & Past Employments
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Current Firm
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
Contact Information
Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3676Phone Number
(919) 490-6717# of Employees
77SEC notice filing (35 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
7,603AUM (Assets Under Management)
$1,154,371,169Similar Advisors
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
State Registrations and Notice Filings
(7/29/2011)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Oct 2003About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1993About the Series 6 examSeries 39 — Direct Participation Programs Principal Examination
Passed Oct 2003About the Series 39 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jul 1998About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 1996About the Series 26 examSimilar Advisors
CRS (Client Relationship Summary) - RIA
Click below to view Amy Louise Simonson's CRS (Customer Relationship Summary).
