Joseph Simons
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Joseph Simons is an investment adviser representative with Charles Schwab & Co., Inc. in The Woodlands, TX, where they have been registered since 2022. They have worked in the securities industry since 2018 and have been registered with 3 firms, including KEY Investment Services LLC and J.p. Morgan Securities LLC. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 16
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
14 states and territories
Arizona, California, Colorado, Georgia, Illinois, Nevada, New Mexico, North Carolina, Oklahoma, Tennessee, Texas, Utah, Virginia, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Key BankAug 2016 – Jul 2019Littleton, CO
- Key Investment ServicesSep 2017 – Aug 2019Littleton, CO
- JP Morgan Chase Bank, N.A.Aug 2019 – Jun 2020Las Vegas, NV
- JP Morgan Securities LLCAug 2019 – Jun 2020Las Vegas, NV
- KeyBankJun 2020 – Nov 2021Littleton, CO
- Key Investment ServicesJun 2020 – Nov 2021Littleton, CO
- Charles Schwab & Co., Inc.Nov 2021 – no end date reportedThe Woodlands, TX
- Charles Schwab Bank, SSBNov 2021 – no end date reportedThe Woodland, TX
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in The Woodlands, TX
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph Simons has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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