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Richard Shepard Simms

Kestra Advisory Services, LLC

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About Richard Shepard Simms

Richard Simms is a financial professional with over 30 years of experience in the industry. Richard has worked with Kestra Advisory Services, LLC since 2011 and previously worked at TRUSTAMERICA SECURITIES COMPANY. Richard holds the Series 63, Series 66 and Series 22 licenses and is a Personal Financial Specialist. Richard is a Registered Investment Advisor in Colorado. Richard works with individuals, high-net-worth individuals, corporations, businesses, insurance companies, charitable organizations, and pension and profit sharing plans. Richard specializes in providing financial planning, portfolio management, and pension consulting.

Firm Information

Richard Simms is currently registered with Kestra Advisory Services, LLC. Kestra Advisory Services, LLC is a financial advisory firm based in Austin, TX, with over 1,200 investment advisor representatives and 48.3 billion in assets under management. Kestra offers a variety of financial advisory services including financial planning, portfolio management, and pension consulting. The firm serves a broad range of clients, including individuals, corporations, insurance companies, pension plans, and charitable organizations. Kestra participates in wrap fee programs.
Kestra Advisory Services, LLC

5707 SOUTHWEST PARKWAY

AUSTIN, TX 78735

$48.32B

Assets Under Management

6,180

Total Clients

1,197

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Simms’s Registration & Firm History

CO

01/01/2025 - Present

Kestra Advisory Services, LLC (ENGLEWOOD CO)

NA

04/29/1988 - 08/24/1990

TRUSTAMERICA SECURITIES COMPANY

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Licenses & Designations

BOTH

Issued 09/16/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/03/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/03/1987

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Richard Shepard Simms.
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