SIMMONS FIRST INVESTMENT GROUP, INC.
CRD #47439 SEC #801-108161 LITTLE ROCK, AR 501-907-2297
SEC Registered Broker-Dealer
Total AUM
$204.7M
Discretionary
$99.2M
Employees
26
Clients
0
Accounts
868
Firm Details
- Organization Type
- Corporation
- State of Formation
- Arkansas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 19, 2018
- Branch Offices
- 24
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALGER, JAMES DAVID | I | PRESIDENT/COO - RETAIL | NA | Control |
| ALGER, JAMES DAVID | I | PRESIDENT/COO - RETAIL | NA | Control |
| ALGER, JAMES DAVID | I | PRESIDENT/COO - RETAIL | NA | Control |
| ALGER, JAMES DAVID | I | PRESIDENT/COO - RETAIL | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| ALGER, JAMES DAVID | I | SVP CCO | NA | Control |
| CASTEEL, MARTY DALE | I | DIRECTOR | NA | Control |
| CASTEEL, MARTY DALE | I | DIRECTOR | NA | Control |
| CASTEEL, MARTY DALE | I | DIRECTOR | NA | Control |
| CASTEEL, MARTY DALE | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CASTRO, VICTOR MANUEL | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| CLEMENT, JOE WINTERS III | I | DIRECTOR | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| EASON, FRED GARY | I | CHAIRMAN OF BOARD | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| FEHLMAN, ROBERT A | I | DIRECTOR | NA | Control |
| HICKS, JIMMY BURTON | I | SVP/COO/DIRECTOR | NA | Control |
| HICKS, JIMMY BURTON | I | SVP/COO/DIRECTOR | NA | Control |
| HICKS, JIMMY BURTON | I | DIRECTOR | NA | Control |
| HICKS, JIMMY BURTON | I | SVP/COO/DIRECTOR | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| HICKS, JIMMY BURTON | I | PRESIDENT & CEO | NA | Control |
| JOHNSON, ANGELA LEIGH | I | CHIEF FINANCIAL OFFICER | NA | |
| JOHNSON, ANGELA LEIGH | I | CHIEF FINANCIAL OFFICER | NA | |
| JOHNSON, ANGELA LEIGH | I | CHIEF FINANCIAL OFFICER | NA | |
| JOHNSON, ANGELA LEIGH | I | CHIEF FINANCIAL OFFICER | NA | |
| JOHNSON, RICHARD WAYNE | I | PRESIDENT/CCO -INSTITUTIONAL DIVISION | NA | Control |
| JOHNSON, RICHARD WAYNE | I | PRESIDENT/CCO -INSTITUTIONAL DIVISION | NA | Control |
| JOHNSON, RICHARD WAYNE | I | PRESIDENT/CCO -INSTITUTIONAL DIVISION | NA | Control |
| JOHNSON, RICHARD WAYNE | I | PRESIDENT/CCO -INSTITUTIONAL DIVISION | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| JOHNSON, RICHARD WAYNE | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| TAPPAN, PHILIP ANDREW | I | DIRECTOR | NA | Control |
| THOMAS, HAROLD L. | I | SR. VICE PRESIDENT/CCO | NA | Control |
| THOMAS, HAROLD LLOYD | I | SR. VICE PRESIDENT/CCO | NA | Control |
| THOMAS, HAROLD LLOYD | I | SR. VICE PRESIDENT/CCO | NA | Control |
| THOMAS, HAROLD LLOYD | I | SR. VICE PRESIDENT/CCO | NA | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
| SIMMONS BANK | DE | 100% OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS FIRST NATIONAL BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS FIRST NATIONAL BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
| SIMMONS FIRST NATIONAL CORP. | DE | SIMMONS BANK | E | Control |
Registrations
Federal
IA
Apr 19, 2018 REGISTERED
Notice Filings (23)
AL AR CA CT FL IL KS KY LA MA MN MO MS NC NJ NY OH OK SC TN TX VA WA
Address
11700 CANTRELL ROADLITTLE ROCK, AR 72223
United States
Phone: 501-907-2297