Heather Simmons

Heather Simmons has been a vital part of RIA Registrar since joining the firm in January 2014. With a distinguished career in the securities industry that began in 1998, Heather combines extensive experience with a passion for fostering compliance excellence in the ever-evolving financial services landscape. Heather began her career in the back office at American Express Financial Advisors, where she built a strong foundation in operations. She later transitioned to a mid-sized broker-dealer, taking on diverse roles over the years and dedicating her final five years there to compliance, culminating in her role as Vice President of Field Compliance. In this position, she worked closely with registered representatives and investment advisor representatives to support and enhance their compliance practices. Heather brings comprehensive experience in compliance, including office inspections, advertising review, outside business activities, marketing support, continuing education, and regulatory response. Her favorite aspect of compliance is collaborating with professionals in the field to mitigate risk and provide guidance in a dynamic regulatory environment. Heather holds FINRA Series 6, 7, 24, and 63 registrations, reflecting her in-depth knowledge of industry standards and regulations. She is also a proud graduate of the College of St. Catherine in St. Paul, Minnesota, where she earned a degree in elementary education. Her leadership at RIA Registrar exemplifies her commitment to ensuring that advisors and firms operate with confidence, integrity, and compliance.