Wendy P. Simmons

DAHRING | CUSMANO AND ASSOCIATES

Novi, MI 48375

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CRD#: 5041493

Professional summary

Wendy P. Simmons, who also goes by Wendy Phyllis Brooks, Wendy P Simmons, is a registered financial advisor currently at DAHRING | CUSMANO AND ASSOCIATES located in Novi, Michigan.

Wendy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Wendy has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wendy Phyllis Brooks | Wendy P Simmons

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) FARMINGTON SDA CHURCH, 29831 W 10 Mile, Farmington Hills MI 48336, Board member, not investment related, not compensated, July 2019 to present, 5 hours per month, ) hours during trading, help board to plan ministry events for the church and community; 2) Dahring Cusmano and Associates, 26200 Town Center Dr #100, Northville, MI, investment related, May 2024 to present, DBA, salaried employee, 160 hours per month, 140 hours during trading, registered support staff - client services;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy P. Simmons's CRS (Customer Relationship Summary).

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

September 30, 2025 - Present

DAHRING | CUSMANO AND ASSOCIATES

Office #1: 26200 Town Center Dr. Suite 100, Novi, MI 48375

RIA

CRD#: 11869

Grandville, MI

Past

November 11, 2015 - February 19, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

GRANDVILLE, MI

Past

May 19, 2014 - September 18, 2015

ELE WEALTH SOLUTIONS, INC.

CRD#: 38931

SOUTHFIELD, MI

Past

May 5, 2010 - May 10, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MUSKEGON, MI

Past

May 5, 2010 - May 10, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MUSKEGON, MI

Past

January 27, 2009 - March 3, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

SOUTHFIELD, MI

Past

October 8, 2008 - December 11, 2008

J.W. COLE FINANCIAL, INC.

CRD#: 124583

SOUTHFIELD, MI

Past

October 13, 2005 - September 29, 2008

INVESTORS CAPITAL CORP.

CRD#: 30613

SOUTHFIELD, MI

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".

DAHRING | CUSMANO AND ASSOCIATES

CRD#: 301236 / SEC#: 801-117222

RIA

Registered Investment Advisory firm - (8/26/2019 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

Michigan
(9/30/2025)

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 66

Date: 10/10/2016

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/23/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2024

General Securities Principal Examination

Current Firm

DAHRING | CUSMANO AND ASSOCIATES

CRD#: 301236 / SEC#: 801-117222

RIA

Registered Investment Advisory firm - (8/26/2019 Approved)

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Contact information

Main Address

26200 Town Center Dr. Suite 100, Novi, MI 48375

Mailing Address

Phone number

(248) 348-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAHRING | CUSMANO ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,737
AUM (Assets Under Management)	$ 707,083,065

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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Advisor Monitoring

Firm Stability Insights

Wendy P. Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy P. Simmons's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

ELE ADVISORY SERVICES, INC

ELE WEALTH SOLUTIONS, INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

LEGEND EQUITIES CORPORATION

ELE WEALTH SOLUTIONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SECURITIES AMERICA, INC.

J.W. COLE FINANCIAL, INC.

INVESTORS CAPITAL CORP.

Primary Firm SEC Registration

DAHRING | CUSMANO AND ASSOCIATES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2016

Series 65

Date: 12/23/2008

Series 63

Date: 9/21/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2005

Series 24

Date: 3/28/2024

Current Firm

DAHRING | CUSMANO AND ASSOCIATES

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DAHRING | CUSMANO AND ASSOCIATES

TRUST BUT VERIFY

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