SIMPLIFIED WEALTH MANAGEMENT, LLC of HATTIESBURG, MS is an SEC-registered investment adviser (CRD 297059). Regulatory assets under management: $225.5M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Kevin Andrew Mccormick | MANAGING PRINCIPAL / CCO | — |
| MCCORMICK KEVIN ANDREW | MANAGING PRINCIPAL / CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-07-12 | regulatory | BETWEEN SEPTEMBER 2020 AND NOVEMBER 2021, GARRAWAY ELECTRONICALLY SIGNED CUSTOMER NAMES ON APPROXIMATELY 101 FORMS ASSOCIATED WITH INSURANCE AND SECURITIES PRODUCTS WITHOUT CUSTOMER PERMISSION. HE ALSO SIGNED ONE DOCUMENT FOR A CUSTOMER WITH THE CUSTOMER'S PERMISSION. THEREFORE, HE VIOLATED FINRA RU… | Final | $5K |