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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2021-09-03
TX RA APPROVED 2021-09-03
  • AL RA
    APPROVED
    Since 2021-09-03
  • TX RA
    APPROVED
    Since 2021-09-03

Branch Locations

110 Bay Street, Gadsden, AL 35901 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Gadsden AL 11/2016 09/2021
Wells Fargo Advisors Financial Network, Llc Gadsden AL 09/2021 Present
Wells Fargo Advisors Llc Gadsden AL 05/2009 11/2016
Previous Registrations
Other Businesses

SIMMONS & STARZL WEALTH MANAGEMENT LLC, INV RELATED, GADSDEN, AL, 50% OWNERSHIP, START 9/7/2021, 160 HRS PER MONTH, 140 HRS DURING TRADING, FINET PRACTICE. BAYSTREET MANAGEMENT LLC, INV RELATED, GADSDEN, AL, 50% OWNERSHIP, START 6/1/2021, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, TO HOLD PRACTICE BUILDING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-11-22
S63 Uniform Securities Agent State Law Examination 1996-10-30
  • S65 Uniform Investment Adviser Law Examination
    1996-11-22
  • S63 Uniform Securities Agent State Law Examination
    1996-10-30
Designations
Other Names
  • Clayton H Simmons
  • C Heath Simmons
  • Heath Simmons
  • Clayton Heath Simmons
  • Clayton Simmons

View on SEC IAPD

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