Disclosures
Welcome to the website of Simmons Asset Management, LLC
Our firm is an investment adviser registered with the State of Louisiana. Due to various state and foreign regulations and filing requirements, our firm and its investment adviser representatives may only provide investment advisory services in those states and countries in which they are appropriately registered or otherwise exempt or excluded from registration requirements.
Our firm does not render personalized investment advice or services or effect, or attempt to effect any securities transactions, on this website. The purpose of this website is to provide the public with general information about the services offered by our investment management firm.
Simmons Asset Management, LLC continuously monitors its filing requirements in all states, and will provide individualized advisory services only in accordance with various state regulations
Terms of Use Agreement
By using the Simmons Asset Management, LLC website you agree to the terms of this agreement and acknowledge reading the warnings and disclosures provided below.
You acknowledge and agree that any request for information by you is unsolicited and shall neither constitute nor be construed as investment advice by Simmons Asset Management, LLC. You should apply your own judgment in making any use of any content, including, without limitation, the use of any information contained therein as the basis for any conclusions. You bear responsibility for your own investment research and decisions.
Prior to making any investment decision, it is strongly recommended that you seek outside advice from a qualified investment adviser. Simmons Asset Management, LLC does not provide or guarantee any financial, legal, tax, or accounting advice regarding the suitability, profitability, or potential value of any particular investment, security, or information source obtained from this website.
You acknowledge that Simmons Asset Management, LLC or its affiliates may invest or otherwise hold interests in entities which may be referenced in any of the services or content accessible through the Simmons Asset Management, LLC website. The views and opinions expressed on the Simmons Asset Management, LLC website are not intended to constitute a description of securities bought, sold, or held on behalf of Simmons Asset Management, LLC nor an indication by Simmons Asset Management, LLC of any intention to buy, sell, or hold any security.
Readers should not assume that recommendations will be profitable or will equal the performance of previous recommendations. The report on this or any page of the website is not a complete description of the securities, markets or developments referred to herein. All expressions of opinion reflect the judgment of the firm at this date and are subject to change. Information has been obtained from sources considered to be reliable, but we do not guarantee that the information is accurate or complete.
Any information provided is for informational purposes only and does not constitute a recommendation.
You should not treat any opinion expressed by Simmons Asset Management, LLC as a specific inducement to make a particular investment or follow a particular strategy, but only as an expression of the firm’s opinion. Simmons Asset Management, LLC’s opinions are based upon information it considers reliable, but the firm does not warrant its completeness or accuracy, and it should not be relied upon as such. Simmons Asset Management, LLC, its affiliates and/or subsidiaries, if any, are not under any obligation to update or correct any information provided on this website. Simmons Asset Management, LLC’s statements and opinions are subject to change without notice.
Past performance is not indicative of future results. Simmons Asset Management, LLC does not guarantee any specific outcome or profit. You should be aware of the real risk of loss in following any strategy or investment discussed on this website. Strategies or investments discussed may fluctuate in price or value. Investors may get back less than invested. Investments or strategies mentioned on this website may not be suitable for you. This material does not take into account your particular investment objectives, financial situation or needs and is not intended as recommendations appropriate for you. You must make an independent decision regarding investments or strategies mentioned on this website. Before acting on information on this website, you should consider whether it is suitable for your particular circumstances and strongly consider seeking advice from your own financial or investment adviser.
Important Disclosures Regarding Simmons Asset Management, LLCBlogs, Media, Newsletters, Articles, etc. (collectively referred to as Commentary) (updated October 2010)
Commentary found on this website is sponsored Commentary created or supported by Simmons Asset Management, LLC. For questions about any Simmons Asset Management, LLC Commentary, please contact Mark Simmons at info@simmonsstrategy.com.
The views and opinions expressed in Commentary are purely the Commentary owners, and not necessarily those of Simmons Asset Management, LLC If we claim or appear to be experts on a certain topic or non- Simmons Asset Management, LLC product or service area, we will only endorse such products or services that we believe, based on our expertise, are worthy of such endorsement. Any non- Simmons Asset Management, LLC product claim, statistic, quote or other representation about a product or service should be verified with the manufacturer or provider.
Simmons Asset Management, LLC seeks to retain the freedom of expression of its Commentary owners. However, Simmons Asset Management, LLC is a registered investment adviser and is in the business of offering and providing investment advice. This creates inherent conflicts of interest insofar as our Commentary is partly designed to promote our own investment advice, services, products, and strategies. In that regard, Simmons Asset Management, LLC Commentary does contain content which presents potential and actual conflicts of interest.
Investment in equity strategies involves substantial risk and has the potential for partial or complete loss of funds invested.
Internet Links
“Simmons Asset Management, LLC’s website provides in certain places information obtained from outside sources or other website addresses or links. The outside information, or any other website information or links, including market and price information, and any other information from outside sources, contains information maintained or provided by institutions or organizations that are independent from Simmons Asset Management, LLC. Our firm does not approve, recommend or have any control over these unaffiliated entities. Our firm cannot guarantee or assume any responsibility for the accuracy, completeness or timeliness of any information provided by any outside organization or entity. We recommend that a person independently review or verify any information provided by any outside source available through any links on our website before acting on such information.“
Use of Personal Information
Personal Information may be used by Simmons Asset Management, LLC for the following purposes:
Providing you with the Simmons Asset Management, LLC services and information you have requested from us, including your use of the Simmons Asset Management, LLC website. We may from time to time use your Personal Information to contact you about changes, enhancements or similar notices related to the Simmons Asset Management, LLC services.
PRIVACY DISCLOSURE DOCUMENT
01/01/2010
Simmons Asset Management, LLC’s primary client goal is to protect your privacy.
To conduct regular business, we may collect nonpublic personal information from sources such as:
- Information reported by you on applications or other forms you provide to us
- Information about your transactions with us, our affiliates, or others
As Simmons Asset Management, LLC shares nonpublic information solely to service our client accounts, we do not disclose any nonpublic personal information about our clients or former clients to anyone, except as permitted by law.
- Information the firm receives from clients on applications (name, social security number, address, assets, etc.)
- Information about client transactions with our firm or others (account information, payment history, parties to transactions, etc.)
At times, we may disclose nonpublic personal information to unaffiliated third parties. We may share any of the information that we collect as described above. We may disclose nonpublic personal information about you to certain types of unaffiliated third parties in connection with providing advisory services:
- Financial service providers such as mortgage brokers, insurance companies, or broker dealers
Information Safeguarding
Simmons Asset Management, LLC will internally safeguard your nonpublic personal information by restricting access to only those employees who provide products or services to you or those who need access to your information to service your account. In addition, we will maintain physical, electronic and procedural safeguards that meet federal and/or state standards to guard your nonpublic personal information.
Opt-Out Procedure
If you prefer that Simmons Asset Management, LLC not take your nonpublic personal information and provide it to a nonaffiliated firm, you may direct us not to make or permit such disclosures by contacting us at the following number: 1 (225) 612-2442.
How you can correct and update personal information.
If you need to update or correct any personal information, you may contact us at 1 (225) 612-2442.
Offer to receive a current copy of our ADV Part 2.
This serves as notification of SEC Rule 204-2 (a) (14) which states that all investment advisers must make available on an annual basis, to all existing clients, a copy of the firm’s Disclosure Brochure, Form ADV Part 2. Our Disclosure Brochure provides information about our advisory services, fees, investment professionals and investment strategies, among other things. If you would like to receive a free copy of our most current Form ADV Part 2, please call us at 1 (225) 612-2442, or write to us at:
Simmons Asset Management, LLC
Post Office Box 66968
Baton Rouge, LA 70896