Robyn Simons (CRD #: 1538638), an investment advisor registered with Promontory Financial, is involved in a $200,000 investor dispute according to his IAPD record, accessed on December 28, 2020. This is not the only disclosure on his record — the details are provided below.
On November 10, 2020, a client alleges that Robyn Simons misrepresented certain unsuitable investment recommendations. The client also alleges that the firm failed to supervise Simons as their registered representative. The client is seeking $200,000; the dispute is pending.
On January 7, 2016, a client alleged that Robyn Simons misrepresented certain unsuitable investments. The dispute settled for $21,500.
Simons has also entered into two financial compromises.
Robyn Simons has passed the Series 66 Uniform Combined State Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination, Series 6 Investment Company Products / Variable Contracts Representative Examination. They are a registered investment adviser in Utah.
During his 34 years in the securities industry, Robyn Simons has worked at 11 firms:
- Promontory Financial Planning (CRD #: 153666)
- BFC Planning (CRD #: 119682)
- Berthel, Fisher & Company Financial Services (CRD #: 13609)
- Money Concepts Capital Corp (CRD #: 12963)
- Zions Investment Securities (CRD #: 17776)
- First Union Securities (CRD #: 19616)
- Financial Network Investment Corporation (CRD #: 13572)
- First Security Van Kasper (CRD #: 7665)
- First Security Investor (CRD #: 15515)
- Locust Street Securities (CRD #: 1703)
- Pruco Securities (CRD #: 5685)
If Robyn Simons was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.