Brian C. Kelleher

SIMPLIFY ASSET MANAGEMENT

Miami, FL

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CRD#: 2761242

Professional summary

Brian Carroll Kelleher is a registered financial advisor currently at SIMPLIFY ASSET MANAGEMENT INC. located in Miami, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.

1) Partner in Purple Dawn Films LLC, will assist with providing some funding. Start date 4/15/2019. 0-1 hours per month, none during trading hours. 2) Owner of a rental property, not investment related 0-1 hours per month, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Carroll Kelleher'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

February 20, 2025 - Present

SIMPLIFY ASSET MANAGEMENT INC.

RIA

CRD#: 309535

Miami, FL

Past

April 13, 2011 - September 11, 2020

PIMCO INVESTMENTS LLC

CRD#: 154957

NEW YORK, NY

Past

June 9, 2009 - March 31, 2011

ALPS DISTRIBUTORS, INC.

CRD#: 16853

NEW YORK, NY

Past

January 7, 1999 - June 19, 2008

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

NEW YORK, NY

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".

SIMPLIFY ASSET MANAGEMENT INC.

CRD#: 309535 / SEC#: 801-119255

RIA

Registered Investment Advisory firm - (8/10/2020 Approved)

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

Florida
(4/8/2025)

IAR

Texas
(2/20/2025)

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: 2/19/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/29/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/6/1999

General Securities Representative Examination

Current Firm

SIMPLIFY ASSET MANAGEMENT INC.

CRD#: 309535 / SEC#: 801-119255

RIA

Registered Investment Advisory firm - (8/10/2020 Approved)

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Contact information

Main Address

10845 Griffith Peak Drive 2/f, Las Vegas, NV, 89135

Mailing Address

Phone number

(702) 389-9705

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SAMI ADV PART 2A (9/19/2025)

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 9,635,489,613

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.

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Firm Stability Insights

Brian C. Kelleher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Carroll Kelleher's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIMCO INVESTMENTS LLC

ALPS DISTRIBUTORS, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

Primary Firm SEC Registration

SIMPLIFY ASSET MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/19/2025

Series 63

Date: 10/25/1999

SIE

Date: 10/1/2018

Series 3

Date: 4/29/2011

Series 7

Date: 1/6/1999

Current Firm

SIMPLIFY ASSET MANAGEMENT INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIMPLIFY ASSET MANAGEMENT INC.

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