
Simi Phull, CEPA®
"This award was issued in 2024 based on an evaluation process as described below. This evaluation was based on the time periods indicated below and was conducted by Five Star Professional (FSP) that considered, among other factors, the following:
• Favorable regulatory and complaint history review. As defined by FSP, the wealth manager has not: 1.) Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; 2.) Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed, or denied complaints with any regulatory authority or FSP's consumer complaint process.
• Personal bankruptcy filing within the past 11 years.
• Termination from a financial services firm within the past 11 years.
• Conviction of a felony.
• One-year client retention rate.
• Five-year client retention rate.
Five Star Professional, as a third-party research firm, identified pre-qualified award candidates based on industry data and contacted all identified broker dealers, Registered Investment Advisor firms and FINRA-registered representatives to gather wealth manager nominations. Self-nominations are not accepted. Wealth managers and/or their firms do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers.
This award was issued on 5/1/24 by Five Star Professional (FSP) for the time period 7/25/23 through 1/31/24.
For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com.
©2022 Morgan Stanley Smith Barney LLC. Member SIPC."