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President & CEO


James J. Isaacs, CFP®

Creating your Plan


Hallie Peyton, CFP®

 

Managing Your Investment Portfolio


E. Charles Jalenak, CFP®

Compliance


Cathy Simmons, CFP®

Operations and Administration


Duncan Miller, CFP®

Our Founder


John Ueleke, CFP®

Cathy Simmons, CFP®
Chief Compliance Officer
cathys@legacywealth.com

I am here to be sure we uphold SEC and government guidelines for our industry as well as the laws that govern us as a fiduciary to our clients.  My role at Legacy includes oversight of our trading and advising practices.  Clients deserve assurance that their investments are safe and that their financial advisor operates according to the guidelines prescribed by the SEC.  Clients deserve the Legacy difference.

As Chief Compliance Officer, Cathy plans, executes and implements the firm’s compliance processes and procedures and serves as Chair of the Compliance Committee.  She also serves as Proxy Officer for the firm and as the firm’s Business Continuity Plan coordinator.

Cathy is a member of Legacy Wealth Management’s Board of Directors, Management Committee, Investment Committee, Risk Committee, and Best Execution and Best Custody Committee.  She is also responsible for assisting new and existing clients with financial planning and portfolio management needs.

Cathy joined Legacy Wealth Management in 2000 after spending nine years as a financial advisor with American Express, Inc.  At American Express, she worked with over 400 clients and consistently received awards for client satisfaction and quality advice.  Cathy received her CFP® certification in 2000 and the Investment Adviser Certified Compliance Professional® designation in 2010. She is a member of the Financial Planning Association National, Financial Planning Association of Greater Memphis where she serves as Chairman of the Board and the Estate Planning Council of Memphis.  She is a past adjunct faculty member at Christian Brothers University, having taught the Fundamentals of Financial Planning & Insurance Planning, as well as Capstone Cases in Financial Planning courses for Kaplan Financials Certificate in Financial Planning Program.  Cathy is a past member of the Investment Advisor Association’s Board of Governors and currently serves on the Government Relations Committee, and Membership Committee.  She is past Chairperson of the National Advisors Trust Compliance Study Group and a 2007 graduate of the Leadership Memphis Executive Program Class.  Other accolades include:  quoted in IAWeek and the Investment Advisor Association Newsletter; featured speaker at several national compliance conferences; and a frequent webinar instructor on a variety of compliance topics.  Cathy was selected to the 50 Top Women in Wealth for 2010 by Wealth Manager magazine.  Cathy was awarded the Trusted Ambassador award by National Advisors Trust in 2012 and 2013 and was named again in 2016 as a FIVE STAR Wealth ManagerSM by Memphis magazine.  Cathy serves on the Board of The Vinings Homeowners Association where she is chair of the Architectural Review Committee.  Cathy is the President of the Board of Mid-South Spay & Neuter Services.  She received both her M.B.A. and B.S. in Business from the University of Memphis.