Individual Firm
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BRANDON WAYNE SIMMONS
CRD#: 4860348
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 16135 PRESTON RD SUITE 121
DALLAS, TX 75248
DALLAS, TX 75248
CETERA ADVISOR NETWORKS LLCCRD#: 13572 16135 PRESTON RD SUITE 121
DALLAS, TX 75248
DALLAS, TX 75248
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Arizona 8/26/2024
B
Missouri 8/26/2024
B
Florida 8/26/2024
B
Oregon 8/26/2024
B
Georgia 8/26/2024
B
Texas 8/26/2024
B
Idaho 8/26/2024
IA
Texas 8/26/2024
B
Kansas 8/26/2024
B
Washington 8/26/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 8/26/2024
B
Registered with this firm since 8/26/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/18/2017 - 09/05/2024 | DALLAS, TX | |
IA | 08/18/2017 - 08/26/2024 | Dallas, TX | |
IA | 03/20/2009 - 08/18/2017 | PLANO, TX | |
B | 03/20/2009 - 08/18/2017 | PLANO, TX | |
B | 06/30/2009 - 09/02/2010 | DALLAS, TX | |
IA | 01/01/2008 - 03/24/2009 | PLANO, TX | |
B | 01/01/2008 - 03/24/2009 | PLANO, TX | |
B | 11/12/2004 - 01/03/2008 | PLANO, TX | |
IA | 11/24/2004 - 01/01/2008 | PLANO, TX |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.