Alan C. Simpson

SIMPSON INVESTMENT COUNSEL

LEXINGTON, MA 02421

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CRD#: 2567783

Professional summary

Alan Carter Simpson is a registered financial advisor currently at SIMPSON INVESTMENT COUNSEL located in Lexington, Massachusetts.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Alan has worked at 2 firms and has passed the Series 65 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Alan Carter Simpson's 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

August 27, 1995 - Present

SIMPSON INVESTMENT COUNSEL

Office #1: 405 Waltham St #pmb392, Lexington, MA 02421

RIA

CRD#: 107499

LEXINGTON, MA

Past

November 23, 2021 - May 26, 2022

PENSION & WEALTH MANAGEMENT ADVISORS

RIA

CRD#: 309546

Lexington, MA

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

Massachusetts
(8/27/1995)

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: 7/14/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 11/18/1994

National Commodity Futures Examination

Current Firm

SIMPSON INVESTMENT COUNSEL

SIMPSON ALAN CARTER | SIMPSON LEONARD INVESTMENTS LLC | SIMPSON INVESTMENT COUNSEL LLC | SIMPSON INVESTMENT COUNSEL

CRD#: 107499 / SEC#: 801-49770

RIA

Registered Investment Advisory firm - (3/14/2012 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/7/2012 Approved)

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).

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Contact information

Main Address

52 Waltham Street, Lexington, MA 02421

Mailing Address

Phone number

(781) 863-0250

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 17,601,716

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Alan C. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Carter Simpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIMPSON INVESTMENT COUNSEL

PENSION & WEALTH MANAGEMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/1995

Series 3

Date: 11/18/1994

Current Firm

SIMPSON INVESTMENT COUNSEL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SIMPSON INVESTMENT COUNSEL

TRUST BUT VERIFY

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