Heather Simmons

Director of Compliance

Heather Simmons joined RIA Registrar in January of 2014. She has worked in the securities industry since 1998, first working in the back office at American Express Financial Advisors. She later transitioned to a mid-sized broker-dealer where she held a variety of roles and also worked in the compliance field for five years. Her most recent position was vice president of field compliance, where she worked closely with registered representatives and investment advisor representatives in the field.

Heather has extensive experience with all facets of compliance including office inspections, advertising review, outside business activities, marketing support, continuing education and responding to regulators. Her favorite part of compliance is working with people in the field to help mitigate risk in the ever-changing world of financial services. Heather holds the series 6, 7, 24 and 63 FINRA registrations.

Heather is a graduate of the College of St. Catherine in St. Paul, Minnesota. She holds a degree in elementary education.

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