Charles Lee Simmons

Current Employers

Waverly Advisors, Llc

600 University Park Place Suite 501, Birmingham, AL 35209 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2026-05-19

LA RA
APPROVED

Since 2026-05-19

Branch Locations

2700 Lake Vila Dr Suite 200, Metairie, LA 70002 • United States

Mandeville, LA • United States

600 University Park Place Suite 501, Birmingham, AL 35209 • 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

Organization	City	State	From	To
Waverly Advisors, Llc	Birmingham	AL	04/2026	Present
Ameriprise Financial Services, Inc.	Metairie	LA	09/2005	07/2020
Truwealth Advisors, Llc	Metairie	LA	07/2020	05/2026
Purshe Kaplan Sterling Investments	Albany	NY	07/2020	02/2024

04/2026 → Present

Waverly Advisors, Llc

Birmingham, AL
09/2005 → 07/2020

Ameriprise Financial Services, Inc.

Metairie, LA
07/2020 → 05/2026

Truwealth Advisors, Llc

Metairie, LA
07/2020 → 02/2024

Purshe Kaplan Sterling Investments

Albany, NY

Previous Registrations

2020-07-17 → 2026-05-19

Truwealth Advisors, Llc

Metairie, LA
2006-10-06 → 2020-07-23

Ameriprise Financial Services, Llc

New Orleans, LA

Metairie, LA

Norco, LA

Other Businesses

1. CL Simmons LLC; Investment related; See Current Residential Address; Commercial rental property LLC; Owner; 1/2008; 0-1 hrs/mo; 0 hrs during trading; LLC for commercial building used as rental/schedule maintenance as needed/collect rent checks. 2. Vintage Condo Association; Not Investment Related; 4140 Unit C, Chateau Blvd, Kenner, LA 70065; Condo Association; President; 11/01/2025; 0-1hrs/mo; 0hrs during trading; Lead board meetings, ensure condo rules are enforced, etc. 3. Baptist Community Ministries; Not Investment Related; 400 Poydras St #2950, NOLA; Charity; Board Member; 01/01/2023; 0-2hrs/mo; 0 hrs during trading; Board Member 4. CCEMNS, LLC; Not Investment Related; Current Residential Address; Commercial rental property LLC; Owner; 1/2023; 0-1 hrs/mo; 0 hrs during trading; LLC for NorthShore commercial building used as rental/schedule maintenance as needed/collect rent checks. 5. CCEM, LLC; Not Investment Related; Current Residential Address; Commercial rental property LLC; Owner; 3/2015; 0-3 hrs/mo; 0 hrs during trading; LLC for SouthShore commercial building used as rental/schedule maintenance as needed/collect rent checks. 6. Matt619-21, LLC; investment related; 2810 N. Church St. Num 889445, Wilmington, DE 19802; LLC for Forex trading; member; owner; 04/16/2025; 2 hrs/mo; 0 hrs during trading; LLC created to hold Forex accounts for currency trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-10-22

S63 Uniform Securities Agent State Law Examination

1992-10-22

Designations

Other Names

Chuck Simmons

View on SEC IAPD