Letha L. Simmons
Professional summary
Being a previously registered professional could mean that this person 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.
Letha Lavonne Simmons, who also goes by Letha Lavonne Lewis, Letha Spradlin Lewis, Letha Spradlin Simmons, Letha Lavonne Spradlin, was a registered financial professional .
Letha is a previously registered financial professional and started their career in finance in 1994. Letha had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2007 - December 21, 2009
O & G SECURITIES, INC.
September 17, 2003 - November 8, 2012
TRINITY SECURITIES, INC.
May 17, 2001 - October 25, 2001
CENTERPOINT SECURITIES INC.
June 1, 1998 - August 30, 1999
ACCESS BROKER.COM, INC.
November 1, 1996 - May 8, 1998
PROSPERA FINANCIAL SERVICES, INC.
June 13, 1996 - August 16, 1996
LIGHTSPEED PROFESSIONAL TRADING LLC
October 6, 1994 - June 18, 1996
AXIS TRADING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
O & G SECURITIES, INC.
CRD#: 143477 / SEC#: , 8-67569
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMPSON, MARY MARTHA | CCO/CEO/PRESIDENT | |
| SIMMONS, BRAD LEE | CFO/FINOP | 3129381 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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