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Tiffany Thoa Simms

Cetera Advisors LLC

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About Tiffany Thoa Simms

Tiffany Thoa Simms is a financial advisor with over 10 years of experience in the industry. She is currently registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, and Cetera Advisor Networks LLC. Tiffany holds the Series 99 and SIE licenses and has previously worked with a variety of firms including VOYA Financial Advisors, Inc., and Girard Securities, Inc. Tiffany specializes in helping clients achieve their financial goals.

Firm Information

Tiffany Simms is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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.

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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Tiffany Simms’s Registration & Firm History

IA

06/10/2021 - Present

Cetera Advisors LLC (WEST DES MOINES IA)

IA

06/10/2021 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (W Des Moines IA)

IA

12/05/2018 - 06/09/2021

VOYA FINANCIAL ADVISORS, INC. (DES MOINES IA)

IA

07/10/2015 - 11/26/2018

CETERA FINANCIAL SPECIALISTS LLC (W DES MOINES IA)

IA

07/10/2015 - 11/26/2018

SUMMIT BROKERAGE SERVICES, INC. (W Des Moines IA)

IA

03/13/2013 - 11/26/2018

CETERA ADVISOR NETWORKS LLC (W DES MOINES IA)

IA

03/13/2013 - 11/26/2018

CETERA ADVISORS LLC (W DES MOINES IA)

IA

07/10/2015 - 11/02/2017

GIRARD SECURITIES, INC. (W DES MOINES IA)

IA

07/10/2015 - 11/09/2016

INVESTORS CAPITAL CORP. (WEST DES MOINES IA)

IA

07/10/2015 - 11/09/2016

VSR FINANCIAL SERVICES, INC. (West Des Moines IA)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/12/2013

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tiffany Thoa Simms.
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