Benjamin Simonds has been an investment adviser representative at Alliance Advisory & Securities since July 2020, and is not listed among the firm’s executive officers or direct owners.
Alliance Advisory & Securities, LLC is a Westlake Village, CA firm with $687M under management, 675 clients and 14 advisers across 5 offices, as of its September 2026 filing.
- – present · 6 yearsWestlake Village, CA · Adviser representative · Firm CRD 18835
Investment adviser representative registrations
Benjamin Simonds is registered as an investment adviser representative in 2 states. Each was approved in July 2020.
- CaliforniaSince 28 July 2020
- TexasSince 28 July 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 14 October 2011 |
| Series 7 | General Securities Representative Examination | 4 August 2011 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Benjamin Ross Simonds
- CRD
- 5927884
- Firm
- Alliance Advisory & Securities · CRD 18835
- Office
- 31248 E. OAK CREST DRIVE STE 100, Westlake Village, CA 91361
- Registration
- Investment adviser registration
- In the industry since
- August 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Benjamin Simonds work?
Benjamin Simonds is an investment adviser representative registered through Alliance Advisory & Securities, LLC since July 2020, and is not listed among the firm’s executive officers or direct owners.
Is Benjamin Simonds a financial advisor?
Yes. Benjamin Simonds has a current investment-adviser registration in California and Texas, through Alliance Advisory & Securities since July 2020.
How many years of experience does Benjamin Simonds have?
Benjamin Simonds has 15 years in the financial industry, since August 2011, across 1 adviser firm.
What exams has Benjamin Simonds passed?
Benjamin Simonds has passed 3 licensing exams: the Series 7, Series 66 and Series 99TO. The earliest, the Series 7, was passed in August 2011. FINRA credited Benjamin Simonds with the SIE, which began in October 2018.
Where is Benjamin Simonds based?
Benjamin Simonds’ registered office is in Westlake Village, CA.
Is Benjamin Simonds registered with FINRA?
No. Benjamin Simonds has no current broker registration.
How can I verify Benjamin Simonds’ record?
Search CRD 5927884 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Benjamin Simonds’ full registration record.
