Cathy Simmons, CFP®, MBA
Chief Compliance Officer, Shareholder
While most people would find the financial industry’s ever-changing rules and regulations daunting, Cathy revels in them! As Chief Compliance Officer, she plans and implements Legacy’s compliance processes and procedures. She also serves as Business Continuity Plan coordinator. As if that weren’t enough, she helps clients with financial planning and portfolio management needs as well!
While most people would find the financial industry’s ever-changing rules and regulations daunting, Cathy revels in them! As Chief Compliance Officer, she plans and implements Legacy’s compliance processes and procedures. She also serves as Business Continuity Plan coordinator. As if that weren’t enough, she helps clients with financial planning and portfolio management needs as well!
A respected authority
Before joining Legacy in 2000, Cathy spent nine years as a financial advisor with American Express Financial Advisors, Inc. She also taught as an adjunct faculty member at Christian Brothers University in the Financial Planning Program. Cathy’s been quoted in IA Week and the Investment Advisor Association Newsletter. And she often speaks at national compliance conferences and hosts webinars on compliance topics. Cathy frequently lobbies on Capitol Hill on behalf of the investment adviser profession.
Dogs and coasters and zip lines, oh my!
Cathy is best described as a lover of animals and a “you did what?” daredevil. The loves of her life are her husband, Tommy, and her rescue puppies Stella and Blue. Among Cathy’s heart-pounding daredevil accomplishments are jumping off the Las Vegas Stratosphere at a height of 829 feet; traveling from 0 – 120 mph in 3.8 seconds on the 420 feet high Cedar Point Top Thrill Dragster and zip-line zooming 3,800 feet above sea level in the Mojave Desert.