Stephen Drew Simpson
Professional Summary
Stephen Drew Simpson is a registered financial advisor currently at VERATIS ADVISORS, INC. located in Cary, North Carolina. Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Stephen has worked at 2 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
VERATIS ADVISORS, INC. | VERATIS INVESTMENT GROUP, INC. | VERATIS INSTITUTIONAL ADVISORS, INC.
Contact Information
Main Address
1400 Crescent Green Suite 110, Cary, NC 27518-8118Phone Number
(919) 460-8875# of Employees
8SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
582AUM (Assets Under Management)
$5,994,203,169Similar 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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
VERATIS ADVISORS, INC. | VERATIS INVESTMENT GROUP, INC. | VERATIS INSTITUTIONAL ADVISORS, INC.
State Registrations and Notice Filings
(1/9/2017)
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.
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Drew Simpson's CRS (Customer Relationship Summary).