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Richard Shepard Simms

Kestra Advisory Services, LLC

Arvada, CO

Englewood, CO

Austin, TX

CRD 1607163

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Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Kestra Advisory Services, Llc

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-01-01
  • CO RA
    APPROVED
    Since 2025-01-01

Branch Locations

Arvada, CO • United States

2 Inverness Dr East Ste 187, Englewood, CO 80112 • United States

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • 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
Richard S. Simms Pc Littleton CO 01/1985 Present
Kestra Advisory Services Llc Littleton CO 07/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-16
S63 Uniform Securities Agent State Law Examination 1987-06-03
  • S66 Uniform Combined State Law Examination
    2011-09-16
  • S63 Uniform Securities Agent State Law Examination
    1987-06-03
Designations
  • Personal Financial Specialist
Other Names
  • Richard Sheppard Simms

View on SEC IAPD

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