Catha Simons
Catha Simons is a registered investment advisor at Equitable Advisors, LLC, based in Portland, OR, with 28 years of industry experience. Catha operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning, and 1 more. Their firm serves 69,432 clients with $38B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Equitable Advisors offers investment management through LPL Financial programs and third-party asset managers (TAMPs). Fees vary depending on the program and assets invested.
For LPL programs like SAM, fees are based on a percentage of your portfolio. In some cases, you can choose whether to pay transaction charges directly or have the advisor pay them, which affects the overall advisory fee.
When using TAMPs, the fees are determined by the TAMP and a portion is paid to Equitable Advisors. The specific fees, minimums, and arrangements vary by TAMP, so it's important to review their brochures.
Equitable Advisors also offers ERISA fiduciary services to retirement plans, with fees determined by the specific services provided.
Location
1616 SW Sunset Boulevard, Suite G, Portland, OR, 97239
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2023Judgment / Lien
June 2019Other Business Activities
Catha is a financial associate at Illuminate Financial Group, LLC. She is also a beneficiary and service agent on her daughter's account.
Employment History
Current Registrations
Equitable Advisors, LLCBroker
Equitable Advisors, LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
UBS Financial Services INC.
UBS Painewebber INC.
UBS Financial Services INC.Broker
RBC Dain Rauscher INC.Broker
Sutro & CO. IncorporatedBroker
Charter Investment Group, INC.Broker
Dain Rauscher IncorporatedBroker
Dain Rauscher IncorporatedBroker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.