Beau Michael Simon

115 Broadway 5Th Floor, New York, NY 10006 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-02-10
CO	RA	APPROVED	2024-06-11
TX	RA	APPROVED_RES	2024-06-10
MI	RA	APPROVED	2024-01-30

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Northwestern Mutual Life Insurance Company	Milwaukee	WI	04/2016	11/2016
Northwestern Mutual Investment Services Llc	Newport Beach	CA	09/2016	11/2016
Unemployed	Los Angeles	CA	11/2016	01/2017
Lpl Financial, Llc	Santa Monica	CA	01/2017	09/2017
Gerber Kawasaki Wealth & Investment Management	Santa Monica	CA	01/2017	09/2017
Unemployed	Los Angeles	CA	09/2017	01/2018
Personal Capital Advisors	Denver	CO	01/2018	04/2023
Empower Advisory Group, Llc	Greenwood Village	CO	04/2023	01/2024
Compound Planning	New York	NY	01/2024	Present

04/2016 → 11/2016

Northwestern Mutual Life Insurance Company

Milwaukee, WI
09/2016 → 11/2016

Northwestern Mutual Investment Services Llc

Newport Beach, CA
11/2016 → 01/2017

Unemployed

Los Angeles, CA
01/2017 → 09/2017

Lpl Financial, Llc

Santa Monica, CA
01/2017 → 09/2017

Gerber Kawasaki Wealth & Investment Management

Santa Monica, CA
09/2017 → 01/2018

Unemployed

Los Angeles, CA
01/2018 → 04/2023

Personal Capital Advisors

Denver, CO
04/2023 → 01/2024

Empower Advisory Group, Llc

Greenwood Village, CO
01/2024 → Present

Compound Planning

New York, NY

2023-04-03 → 2024-01-31

Empower Advisory Group, Llc

Royal Oak, MI

Greenwood Village, CO

Greenwood Village, CO
2018-01-24 → 2023-04-03

Personal Capital Advisors Corporation

Denver, CO

Denver, CO

Taos, NM

Greenwood Village, CO
2017-01-26 → 2018-01-11

Gerber Kawasaki Wealth & Investment Management

Santa Monica, CA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-01-16
S63	Uniform Securities Agent State Law Examination	2016-10-07