Charles A. Simmonds

ROBERTSON STEPHENS

Westport, CT 06880

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CRD#: 7724330

Professional summary

Charles Anderson Simmonds, who also goes by Charles Simmonds, is a registered financial advisor currently at ROBERTSON STEPHENS located in Westport, Connecticut and ROBERTSON STEPHENS CAPITAL MARKETS, LLC located in Westport, Connecticut.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Charles has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Simmonds

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.) Robertson Stephens Wealth Management, LLC; Yes; 61 Jesup Road, Westport, CT 06880; Affiliated RIA; Client Service Associate; August 2025; 190; 6; Client Service 2.) Robertson Stephens Capital Markets, LLC; Yes; 61 Jesup Road, CT 06880, Broker Dealer, Registered Representative; September 2025; 10, .5; Client Service

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Anderson Simmonds'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

ROBERTSON STEPHENS

Office #1: 61 Jesup Road, Westport, CT 06880

RIA

CRD#: 289977

Westport, CT

Current

September 30, 2025 - Present

ROBERTSON STEPHENS CAPITAL MARKETS, LLC

Office #1: 61 Jesup Road, Westport, CT 06880

CRD#: 290635

Westport, CT

Past

September 30, 2023 - November 27, 2023

ROCKEFELLER FINANCIAL LLC

RIA

CRD#: 291361

New York, NY

Past

August 19, 2023 - November 27, 2023

ROCKEFELLER FINANCIAL LLC

CRD#: 291361

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".

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/30/2025)

IAR

Connecticut
(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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/30/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/19/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/3/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 Approved)

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Contact information

Main Address

455 Market Street Ste. 1450, San Francisco, CA 94105-2442

Mailing Address

Phone number

(415) 500-6810

Established

Firm type

Fiscal year end

# of Employees

113

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROBERTSON STEPHENS ADV PART 2A BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	7,419
AUM (Assets Under Management)	$ 7,139,384,497

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

Charles A. Simmonds

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Anderson Simmonds's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERTSON STEPHENS CAPITAL MARKETS, LLC

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

Primary Firm SEC Registration

ROBERTSON STEPHENS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2023

Series 7TO

Date: 8/19/2023

SIE

Date: 7/3/2023

FINRA

Current Firm

ROBERTSON STEPHENS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBERTSON STEPHENS

TRUST BUT VERIFY

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