Alan Ernest Simpson

Current Employers

Employment History

• 08/2010 → 08/2017
  Great Nation Investment Corporation
  Amarillo, TX
• 08/2017 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 5/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG TERM CARE 2.NAME OF OTHER BUSINESS: RETIREMENT ADVISORS OF THE SOUTHWEST INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE AND FINANCIAL SERVICES START DATE: 09/2009 POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES BUSINESS 3.NAME OF OTHER BUSINESS: EL PASO CATHOLIC DIOCESE INVESTMENT RELATED: NO ADDRESS: 499 ST. MATTHEWS ST., EL PASO, TX 79907 NATURE OF BUSINESS: EL PASO CATHOLIC DIOCESE START DATE: 02/2009 POSITION/TITLE/RELATIONSHIP: CONSTRUCTION COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: 1 / MONTH APX NUMBER OF HOURS DURING TRADING HOURS: 1 / MONTH BRIEF DESCRIPTION OF DUTIES: CONSTRUCTION COMMITTEE MEMBER 4.NAME OF OTHER BUSINESS: EL PASO RESTAURANT ASSOCIATION INVESTMENT RELATED: NO NATURE OF BUSINESS: 501(C)(3) NON-PROFIT ASSOCIATION SUPPORTING RESTAURANTS START DATE: 09/1990 POSITION/TITLE/RELATIONSHIP: NON-VOTING MEMBER APX NUMBER OF HOURS PER WEEK: 1 HOUR EVERY OTHER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: 1 HOUR EVERY OTHER MONTH BRIEF DESCRIPTION OF DUTIES: NON-VOTING MEMBER AND MENTOR YOUNGER MEMBERS OF THE BOARD 5.NAME OF OTHER BUSINESS: TEXAS RESTAURANT ASSOCIATION INVESTMENT RELATED: NO ADDRESS: PO BOX 1429, AUSTIN, TX 78767 NATURE OF BUSINESS: 501(C)(3) NON-PROFIT ASSOCIATION SUPPORTING RESTAURANTS START DATE: 07/1993 POSITION/TITLE/RELATIONSHIP: HONORARY BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 DAYS EVERY 6 MONTHS APX NUMBER OF HOURS DURING TRADING HOURS: 2 DAYS EVERY 6 MONTHS BRIEF DESCRIPTION OF DUTIES: HONORARY BOARD MEMBER 6. NAME OF OTHER BUSINESS: M. SUE KURITA JUDICIAL CAMPAIGN; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: CAMPAIGN; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: CAMPAIGN TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SUBMIT CAMPAIGN REPORTS AS REQUIRED BY LAW WHEN DUE; 7. NAME OF OTHER BUSINESS: HOPE BORDER INSTITUTE; INVESTMENT RELATED: NO; ADDRESS: 8330 PARK HAVEN AVE, EL PASO, TX 79902; NATURE OF BUSINESS: BOARD; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW MONTHLY FINANCIAL STATEMENTS, PRESENT FINANCIAL REPORTS TO BOARD, PREPARE, PRESENT ANNUAL BUDGET;

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-03-10
• S63 Uniform Securities Agent State Law Examination
  2010-03-18