Andrew Simmons

CRD 2110055 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chandler, AZ

IA RegisteredBroker

Also appears in the source record as: Andrew E Simmons; Andrew Eric Simmons

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 31Series 7Series 6Series 10Series 9Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (17)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chandler, AZ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chandler, AZ · BC capacity

start not retrieved → present
Usaa Financial Planning Services
Phoenix, AZ · IA capacity

Mar 15, 2011 → Oct 8, 2013
Usaa Financial Advisors, Inc.
Phoenix, AZ · BC capacity

Mar 7, 2011 → Oct 8, 2013
Metlife Securities Inc.
Downers Grove, IL · BC capacity

Oct 4, 2010 → Jan 20, 2011
Chase Investment Services Corp.
Wheaton, IL · BC capacity

Sep 23, 2009 → Jan 12, 2010
Chase Investment Services Corp.
Wheaton, IL · IA capacity

Sep 17, 2009 → Jan 12, 2010
Aig Retirement Advisors, Inc.
Chicago, IL · IA capacity

Jun 30, 2008 → Mar 31, 2009
Aig Retirement Advisors, Inc.
Chicago, IL · BC capacity

Jun 30, 2008 → Mar 31, 2009
Td Ameritrade, Inc.
Oak Brook, IL · IA capacity

Jun 14, 2007 → Aug 14, 2007
Amerivest Investment Management, LLC
Oak Brook, IL · IA capacity

Jun 14, 2007 → Aug 14, 2007
Td Ameritrade, Inc.
Oak Brook, IL · BC capacity

Jun 14, 2007 → Aug 14, 2007
Charles Schwab & Co., Inc.
Schaumburg, IL · IA capacity

Jul 18, 2005 → May 14, 2007
Charles Schwab & Co., Inc.
Schaumburg, IL · BC capacity

Jul 7, 2005 → May 14, 2007
Ing Funds Distributor, LLC
Windsor, CT · BC capacity

Jul 15, 2004 → May 3, 2005
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Jul 19, 2001 → Aug 5, 2002
Waddell & Reed, Inc.
BC capacity

Dec 6, 1990 → May 29, 1992

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2110055 ↗ FINRA BrokerCheck record for CRD 2110055 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.