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Katherine Ann Simmonds

CONQUIS FINANCIAL LLC·MILLBRAE, California
Series 6, Series 7, Series 62, Series 63, Series 65Clean record24 years registeredCONQUIS FINANCIAL LLC
1 LA CRUZ AVENUE, SUITE 202, MILLBRAE, CA 94030CRD# 2120022Firm CRD# 319579

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Katherine Ann Simmonds · MILLBRAE, CA
Registration
CRD #2120022 · CONQUIS FINANCIAL LLC · 24 years registered
Brand Profile
Not yet started
01

Career History

CONQUIS FINANCIAL LLC
May 2022 – present
MARINER PLATFORM SOLUTIONS
Mar 2022 – Jul 2022
Millbrae, CA
ADVICEPERIOD, LLC
Dec 2016 – Mar 2022
Millbrae, CA
STANFORD INVESTMENT GROUP, INC.
Jun 2007 – Dec 2016
MOUNTAIN VIEW, CA
BROUWER & JANACHOWSKI INCORPORATED
Aug 2001 – Nov 2007
TIBURON, CA
02

Registrations & Exams

FINRA examinations passed
Series 6
Series 7
Series 62
Series 63
Series 65
Registration record
First registered · August 29, 2001
Years registered · 24
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
CONQUIS FINANCIAL LLC
CRD 319579 · SEC 801-123701
AUM
$207M
Regulatory assets under management
Employees
2
234 client accounts
Services offered by CONQUIS FINANCIAL LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at CONQUIS FINANCIAL LLC →
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05

Frequently Asked Questions

What services does Katherine Ann Simmonds offer?
Katherine Ann Simmonds specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MILLBRAE, California for a consultation.
What are Katherine Ann Simmonds's credentials?
Katherine Ann Simmonds is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Katherine Ann Simmonds located?
Katherine Ann Simmonds is based in MILLBRAE, California, working with CONQUIS FINANCIAL LLC. Their office serves clients in the MILLBRAE metropolitan area and surrounding communities.
How does Katherine Ann Simmonds charge for services?
Katherine Ann Simmonds's firm is compensated through percentage of aum, subscription fees, other: hybrid: fixed+percentage of assets under management. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CONQUIS FINANCIAL LLC?
CONQUIS FINANCIAL LLC has approximately 2 employees and manages $207M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
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Research
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