Troy D. 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.
Troy David Simmons IV, who also goes by Troy D Simmons, Troy David Simmons, Troy Simmons, Troy D Simmons IV, Troy Simmons Iv, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 2014. Troy had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2019 - February 6, 2020
TD AMERITRADE, INC.
February 6, 2018 - January 25, 2019
TD AMERITRADE, INC.
December 1, 2017 - January 9, 2018
J.P. MORGAN SECURITIES LLC
June 3, 2014 - August 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
