Simmons Financial Services, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary investment supervisory services to individual investors, trusts, and estates, managing approximately $1.3 million in discretionary assets across 32 client relationships and an additional $190,000 non-discretionary. Services are limited to publicly traded equities, bonds and exchange-traded funds, and fees are charged as a percentage of assets under management.
The firm typically establishes client objectives and risk tolerance in an initial meeting, then implements portfolios using a mix of long- and short-term purchases and occasional margin transactions while allowing clients to impose investment restrictions. Security analysis combines charting, fundamental and technical methods, drawing on TD Ameritrade research as well as public sources such as financial newsletters and television programs.
Compared with many peers, the firm is led by an attorney who specializes in estate planning and also conducts estate-planning work under a d/b/a, and the advisor continues to practice law and sell insurance and fixed annuities — relationships that may lead clients to receive coordinated estate-planning and insurance services alongside investment management. The client base does not include high-net-worth individuals, and the firm is a small, single-advisor practice that executes trades through TD Ameritrade without taking custody of client assets.
Client services
Occupation focus
Fee options
$0+: 2.25% annually on equities (stocks, ETFs) $0+: 1.0% annually on bonds $0+: 0% on mutual funds
Main office
68311 Main St.
Richmond MI 48062
Advisors at this office
1
Most active in
Michigan
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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