Charles Gerald Simon

Employer firm

Advisory Services Network CRD 146051

$10.6B regulatory AUM 49 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Advisory Services Network

900 Ashwood Parkway Suite 500, Atlanta, GA 30338 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2022-09-06

LA RA
APPROVED

Since 2022-09-06

Branch Locations

900 Ashwood Parkway Suite 500, Atlanta, GA 30338 • United States

720 W. 21St Ave Suite C, Covington, LA 70433 • United States

Disclosures

2 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Foundations Investment Advisors, Llc	Scottsdale	AZ	03/2017	08/2022
Simon & Simon Financial, Llc	Covington	LA	07/2013	Present
Retirement Income Specialists, Llc	Covington	LA	11/2011	08/2022
Advisory Services Network, Llc	Atlanta	GA	08/2022	Present

03/2017 → 08/2022

Foundations Investment Advisors, Llc

Scottsdale, AZ
07/2013 → Present

Simon & Simon Financial, Llc

Covington, LA
11/2011 → 08/2022

Retirement Income Specialists, Llc

Covington, LA
08/2022 → Present

Advisory Services Network, Llc

Atlanta, GA

Previous Registrations

2017-03-06 → 2022-09-01

Foundations Investment Advisors Llc

Covington, LA

Phoenix, AZ
2002-05-14 → 2004-12-31

Beam Wealth Advisors, Inc.

Covington, LA

Other Businesses

SIMON & SIMON FINANCIAL, LLC; INVESTMENT RELATED; 1123 S TYLER ST, COVINGTON, LA 70433; INSURANCE AND ANNUITY AGENCY; SINCE 07/2013; AT LEAST 80 HOURS PER MONTH DURING TRADING HOURS; OFFER FIXED ANNUITIES AND LIFE INSURANCE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-02-21
S63	Uniform Securities Agent State Law Examination	1985-10-11

S65 Uniform Investment Adviser Law Examination

2017-02-21
S63 Uniform Securities Agent State Law Examination

1985-10-11

Other Names

C Gerald Simon

View on SEC IAPD