Best Investors Account Sign in
Inactive

Katherine Ann Simmonds

Conquis Financial LLC

Millbrae, CA

Claim This Profile
Current Employers
Conquis Financial Llc

1 La Cruz Avenue, Suite 202, Millbrae, CA 94030 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-05-19
  • CA RA
    APPROVED
    Since 2022-05-19

Branch Locations

1 La Cruz Avenue, Suite 202, Millbrae, CA 94030 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stanford Investment Group, Inc. Mountain View CA 02/2007 12/2016
Adviceperiod, Llc San Mateo CA 12/2016 03/2022
Mariner Platform Solutions Millbrae CA 03/2022 06/2022
Conquis Financial Llc Millbrae CA 05/2022 Present
  • 02/2007 → 12/2016
    Stanford Investment Group, Inc.
    Mountain View, CA
  • 12/2016 → 03/2022
    Adviceperiod, Llc
    San Mateo, CA
  • 03/2022 → 06/2022
    Mariner Platform Solutions
    Millbrae, CA
  • 05/2022 → Present
    Conquis Financial Llc
    Millbrae, CA
Previous Registrations
  • 2022-03-01 → 2022-07-05
    Mariner Independent
    Millbrae, CA
  • 2016-12-22 → 2022-03-30
    Adviceperiod, Llc
    San Mateo, CA
    Millbrae, CA
  • 2007-06-06 → 2016-12-27
    Stanford Investment Group, Inc.
    Mountain View, CA
  • 2001-08-29 → 2007-11-28
    Brouwer & Janachowski Incorporated
    Tiburon, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-19
S63 Uniform Securities Agent State Law Examination 1991-01-23
  • S65 Uniform Investment Adviser Law Examination
    1996-03-19
  • S63 Uniform Securities Agent State Law Examination
    1991-01-23
Designations
Other Names
  • Katherine A Simmonds

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC
EMERSON EQUITY LLC
SHUYI KONG WEALTH MANAGEMENT, INC.
U.S. BANCORP ADVISORS, LLC
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

Weijia Guo
YINGQUAN ZHANG
JULIE CHI-CHING CHEN TUNG
MATTHEW PAUL SOLIS
HARDIT NARAYAN CHAUDHARY
Shuyi Kong
Jason Chia Wun Chen
Jacob David Levy

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MILLBRAE, CA
WELLS FARGO CLEARING SERVICES, LLC · MILLBRAE, CA
EMERSON EQUITY LLC · Millbrae, CA
SHUYI KONG WEALTH MANAGEMENT, INC. · MILLBRAE, CA
U.S. BANCORP ADVISORS, LLC · Millbrae, CA
CETERA INVESTMENT ADVISERS LLC · MILLBRAE, CA
J.P. MORGAN SECURITIES LLC · MILLBRAE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Millbrae, CA

More in Millbrae, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor