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 cruises and beaches, oh my!
Cathy is best described as a lover of animals and a "you've been on how many cruises?" globetrotter. The loves of her life are her husband, Tommy, and her rescue puppies Stella and Blue. Cathy’s happy place is the ocean, specifically the warm waters of the Caribbean. She’s been on more cruises than she can count on both hands and feet and prefers the solace of the Yacht Club “ship within a ship” that comes with a suite and a butler! Among her favorites beaches are Paradise Island Nassau Bahamas and Jost Van Dyke in the British Virgin Islands where you will find the famous Soggy Dollar Bar home to the Original Pain Killer.